The Self-assessment Guide is provided as a ‘stand-alone’ guide, which can be used by enterprises to perform

rigorous assessment of the capability of their IT processes. This may be a precursor to undertaking more rigorous evidenced-ba
assessment. The approach is based on the COBIT PAM used in the COBIT 5 Assessment Programme, but does not require evid
requirements in support of the self assessment, nor does it require use of the COBIT PAM; sufficient information from the PAM
full self-assessment template has been provided that simplifies the process without the need to reference the other two guide
COBIT Assessment Programme.
© ISACA 2013 All rights reserved.
Instructions
1. It is recommended that the assessment be undertaken by a small team or reviewed by a team of IT management and/or ass
although independent assessors are not required for this.
1. Use the Process results tab (example in appendix A of the guide) to summarize your results of the assessments
2. If a more rigoruous assessment is required and/or evidentiary requirements to be produced then use the full assessor guide
templates at 3. and 4. of the toolkit
3. You are required to start at level 1 because that is where the specfic questions are asked about the process outomes and pu
be achieved.
4. At Level 1 For each process be assessed ask if the process is achieveing its outcomes, answer yes or no; include any relevant
comments to support your conclusion.
5. For Level 1 you can RATE each of the outcomes but the assessment approach requires an overall assessment rating at the pr
attribute level PA1.1
6. At higher levels you are no longer looking at specific process outcomes but at overall generic goals shown for each of the le
5.
7. To PASS a particular level the process must be rated Largely or Fully, to move onto the next level all attributes must be rated
for example if PA2.1 is Largely and PA2.2 Fully, you are deemed to be at Level 2 but the overall Level 2 rating must be a Fully to
to assess at higher levels.

8. Use this process as a 'pre-cursor' to a more detailed assessment and not as the definitive assessment of your IT processes.
 PROCESS ASSESSMENT RESULTS

Process ID Process Name To be Level 0 Level 1 Level 2 Level 3 Level 4 Level 5

assessed N- 0%-15% P- 15%-50% L- 50%-85%

Processes for Governance of Enterprise IT -

Evaluate, Direct and Monitor

EDM01 F L N – Not Achieved

Ensure Governance Framework Setting and P – Partially Achieved
Maintenance L – Largely Achieved
F- Fully Achieved
EDM02 Ensure Benefits Delivery
EDM03 Ensure Risk Optimisation
EDM04 Ensure Resource Optimisation
EDM05 Ensure Stakeholder Transparency
Align, Plan and Organise
APO01 Manage the IT Management Framework
APO02 Manage Strategy
APO03 Manage Enterprise Architecture
APO04 Manage Innovation
APO05 Manage Portfolio
APO06 Manage Budget and Costs
APO07 Manage Human Resources
APO08 Manage Relationships
APO09 Manage Service Agreements
APO10 Manage Suppliers
APO11 Manage Quality
APO12 Manage Risk
APO13 Manage Security
Build, Acquire and Implement
BAI01 Manage Programmes and Projects
BAI02 Manage Requirements Definition L
BAI03 Manage Solutions Identification and Build
BAI04 Manage Availability and Capacity
BAI05 Manage Organisational Change Enablement
BAI06 Manage Changes
BAI07 Manage Change Acceptance and Transitioning
BAI08 Manage Knowledge
BAI09 Manage Assets
BAI10 Manage Configuration
Deliver, Service and Support
DSS01 Manage Operations
DSS02 Manage Service Requests and Incidents
DSS03 Manage Problems
DSS04 Manage Continuity
DSS05 Manage Security Services
DSS06 Manage Business Process Controls
Monitor, Evaluate and Assess
MEA01 Monitor, Evaluate and Assess Performance and
Conformance
MEA02 Monitor, Evaluate and Assess the System of Internal
Control
MEA03 Monitor, Evaluate and Assess Compliance with
External Requirements
L- 50%-85% F- 85%-100%
 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

EDM01 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

EDM01 Ensure Governance Framework Setting and Maintenance

Purpose Satisfy the business requirement of sustaining or extending the business strategy and governa
about benefits, costs and risks

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating for t
Performed achieves its process purpose.

EDM01-O1An optimum strategic decision-making model

for IT is achieved, aligned with the enterprise's internal
and external environment and stakeholder requirements.

EDM01-O2The governance system for IT is embedded in

the enterprise.

EDM01-O2Assurance is obtained that the governance

system for IT is operating effectively.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process
are identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to meet
plans.

PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
d)       Responsibilities and authorities for performing
the process are defined, assigned and communicated.
e)       Resources and information necessary for
performing the process are identified, made
available, allocated and used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication
and also clear assignment of responsibility.
a)       Requirements for the work products of the
process are defined.
b)       Requirements for documentation and control of
the work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to
meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate
tailoring guidelines, is defined that describes the
fundamental elements that must be incorporated into
a defined process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for
performing a process are identified as part of the
standard process.
d)       Required infrastructure and work
environment for performing a process are
identified as part of the standard process.
e)       Suitable methods for monitoring the
effectiveness and suitability of the process are
determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard
process.
b)       Required roles, responsibilities and
authorities for performing the defined process are
assigned and communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education,
training, and experience.
d)       Required resources and information
necessary for performing the defined process are
made available, allocated and used.

Level 4 PA 4.1 Process Measurement - A
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified As a result of full achievement of this attribute:
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
e)       Required infrastructure and work
environment for performing the defined process
are made available, managed and maintained.
f)        Appropriate data are collected and analysed
as a basis for understanding the behaviour of,
and to demonstrate the suitability and
effectiveness of the process, and to evaluate
where continuous improvement of the process can
be made.
As a result of full achievement of this attribute:
a)       Process information needs in support of relevant
defined business goals are established.
b)       Process measurement objectives are derived
from process information needs.
c)        Quantitative objectives for process performance
in support of relevant business goals are established.
d)       Measures and frequency of measurement are
identified and defined in line with process
measurement objectives and quantitative objectives
for process performance.
e)       Results of measurement are collected, analysed
and reported in order to monitor the extent to which
the quantitative objectives for process performance
are met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined
and applied where applicable.
b)    Control limits of variation are established for
normal process performance.
c)   Measurement data are analysed for special causes
of variation.
d)   Corrective actions are taken to address special
causes of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
a) Pprocess improvement objectives for the process
are defined that support the relevant business goals.
b)  Appropriate data are analysed to identify common
causes of variations in process performance.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.

PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
e)   An implementation strategy is established to
achieve the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed against
the objectives of the defined process and standard
process.
b) Implementation of all agreed changes is managed
to ensure that any disruption to the process
performance is understood and acted upon.
c)   Based on actual performance, effectiveness of process
change is evaluated against the defined product
requirements and process objectives to determine
whether results are due to common or special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

the business strategy and governance requirements while being transparent

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

EDM02 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

EDM02 Ensure Value Optimisation

Purpose Satisfy the business requirement of being agile in responding to requirements; provide reliabl
business processes.
about benefits, costs and risks

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating for the p
Performed achieves its process purpose.

EDM02-O1 The enterprise is securing optimal value

from its portfolio of approved IT-enabled initiatives,
services and assets.

EDM02-O2 Optimum value is derived from IT

investment through effective value management
practices in the enterprise.

EDM02-O3 Individual IT-enabled investments

contribute optimal value.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the
process are identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to
meet plans.

PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
d)       Responsibilities and authorities for
performing the process are defined, assigned
and communicated.
e)       Resources and information necessary for
performing the process are identified, made
available, allocated and used.
f)        Interfaces between the involved parties
are managed to ensure both effective
communication and also clear assignment of
responsibility.
a)       Requirements for the work products of the
process are defined.
b)       Requirements for documentation and
control of the work products are defined.
c)         Work products are appropriately
identified, documented, and controlled.
d)       Work products are reviewed in accordance
with planned arrangements and adjusted as
necessary to meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate
tailoring guidelines, is defined that describes the
fundamental elements that must be
incorporated into a defined process.
b)       The sequence and interaction of the
standard process with other processes is
determined.
c)         Required competencies and roles for
performing a process are identified as part of the
standard process.
d)       Required infrastructure and work
environment for performing a process are
identified as part of the standard process.
e)       Suitable methods for monitoring the
effectiveness and suitability of the process are
determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon
an appropriately selected and/or tailored
standard process.
b)       Required roles, responsibilities and
authorities for performing the defined
process are assigned and communicated.
c)        Personnel performing the defined process
are competent on the basis of appropriate
education, training, and experience.

Level 4 PA 4.1 Process Measurement - A
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified As a result of full achievement of this attribute:
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
d)       Required resources and information
necessary for performing the defined process
are made available, allocated and used.
e)       Required infrastructure and work
environment for performing the defined
process are made available, managed and
maintained.
f)        Appropriate data are collected and
analysed as a basis for understanding the
behaviour of, and to demonstrate the
suitability and effectiveness of the process,
and to evaluate where continuous
improvement of the process can be made.
As a result of full achievement of this attribute:
a)       Process information needs in support of
relevant defined business goals are established.
b)       Process measurement objectives are
derived from process information needs.
c)        Quantitative objectives for process
performance in support of relevant business
goals are established.
d)       Measures and frequency of measurement
are identified and defined in line with process
measurement objectives and quantitative
objectives for process performance.
e)       Results of measurement are collected,
analysed and reported in order to monitor the
extent to which the quantitative objectives for
process performance are met.
f) Measurement results are used to
characterise process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are
determined and applied where applicable.
b)    Control limits of variation are established for
normal process performance.
c)   Measurement data are analysed for special
causes of variation.
d)   Corrective actions are taken to address
special causes of variation.
e)    Control limits are re-established (as
necessary) following corrective action.
a) Pprocess improvement objectives for the
process are defined that support the relevant
business goals.
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
b)  Appropriate data are analysed to identify
common causes of variations in process
performance.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from
new technologies and process concepts are
identified.
e)   An implementation strategy is established to
achieve the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed
against the objectives of the defined process and
standard process.
b) Implementation of all agreed changes is
managed to ensure that any disruption to the
process performance is understood and acted
upon.
c)   Based on actual performance, effectiveness of
process change is evaluated against the defined
product requirements and process objectives to
determine whether results are due to common
or special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

onding to requirements; provide reliable, consistent information, and seamlessly integrate applications into

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

EDM03 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

EDM03 Ensure Risk Optimisation

Purpose Satisfy the business requirement of having stable, cost-effective, integrated and standard app
that meet current and future business requirements.

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating for the p
Performed achieves its process purpose.

EDM03-O1 Risk thresholds are defined and

communicated and key IT-related risks are known.

EDM03-O2 The enterprise is managing critical IT-

related enterprise risks effectively and efficiently.

EDM03-O3 IT-related enterprise risks do not exceed

risk appetite and the impact of IT risk to enterprise
value is identified and managed.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the
process are identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to
meet plans.

PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
d)       Responsibilities and authorities for
performing the process are defined, assigned
and communicated.
e)       Resources and information necessary for
performing the process are identified, made
available, allocated and used.
f)        Interfaces between the involved parties
are managed to ensure both effective
communication and also clear assignment of
responsibility.
a)       Requirements for the work products of the
process are defined.
b)       Requirements for documentation and
control of the work products are defined.
c)         Work products are appropriately
identified, documented, and controlled.
d)       Work products are reviewed in accordance
with planned arrangements and adjusted as
necessary to meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate
tailoring guidelines, is defined that describes the
fundamental elements that must be
incorporated into a defined process.
b)       The sequence and interaction of the
standard process with other processes is
determined.
c)         Required competencies and roles for
performing a process are identified as part of the
standard process.
d)       Required infrastructure and work
environment for performing a process are
identified as part of the standard process.
e)       Suitable methods for monitoring the
effectiveness and suitability of the process are
determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon
an appropriately selected and/or tailored
standard process.
b)       Required roles, responsibilities and
authorities for performing the defined process
are assigned and communicated.
c)        Personnel performing the defined process
are competent on the basis of appropriate
education, training, and experience.

Level 4 PA 4.1 Process Measurement - A
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified As a result of full achievement of this attribute:
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
d)       Required resources and information
necessary for performing the defined process
are made available, allocated and used.
e)       Required infrastructure and work
environment for performing the defined
process are made available, managed and
maintained.
f)        Appropriate data are collected and
analysed as a basis for understanding the
behaviour of, and to demonstrate the
suitability and effectiveness of the process,
and to evaluate where continuous
improvement of the process can be made.
As a result of full achievement of this attribute:
a)       Process information needs in support of
relevant defined business goals are established.
b)       Process measurement objectives are
derived from process information needs.
c)        Quantitative objectives for process
performance in support of relevant business
goals are established.
d)       Measures and frequency of measurement
are identified and defined in line with process
measurement objectives and quantitative
objectives for process performance.
e)       Results of measurement are collected,
analysed and reported in order to monitor the
extent to which the quantitative objectives for
process performance are met.
f) Measurement results are used to
characterise process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are
determined and applied where applicable.
b)    Control limits of variation are established for
normal process performance.
c)   Measurement data are analysed for special
causes of variation.
d)   Corrective actions are taken to address
special causes of variation.
e)    Control limits are re-established (as
necessary) following corrective action.
a) Pprocess improvement objectives for the
process are defined that support the relevant
business goals.
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
b)  Appropriate data are analysed to identify
common causes of variations in process
performance.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from
new technologies and process concepts are
identified.
e)   An implementation strategy is established to
achieve the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed
against the objectives of the defined process and
standard process.
b) Implementation of all agreed changes is
managed to ensure that any disruption to the
process performance is understood and acted
upon.
c)   Based on actual performance, effectiveness of
process change is evaluated against the defined
product requirements and process objectives to
determine whether results are due to common
or special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

-effective, integrated and standard application systems, resources and capabilities

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

EDM04 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

EDM04 Ensure Resource Optimisation

Purpose Satisfy the business requirement of being agile in responding to the business strategy while c
points of contact.

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating for t
Performed achieves its process purpose.

EDM04-O1 The resource needs of the enterprise are met

in the most optimal manner.

EDM04-O2 The consistent adoption of resource

management principles are achieved.

EDM04-O3 Optimal use of resources is achieved

throughout their full economic lifecycle.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process
are identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to meet
plans.
d)       Responsibilities and authorities for performing
the process are defined, assigned and
communicated.

PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
e)       Resources and information necessary for
performing the process are identified, made
available, allocated and used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication
and also clear assignment of responsibility.
a)       Requirements for the work products of the
process are defined.
b)       Requirements for documentation and control of
the work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to
meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate
tailoring guidelines, is defined that describes the
fundamental elements that must be incorporated
into a defined process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for
performing a process are identified as part of the
standard process.
d)       Required infrastructure and work
environment for performing a process are
identified as part of the standard process.
e)       Suitable methods for monitoring the
effectiveness and suitability of the process are
determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard
process.
b)       Required roles, responsibilities and
authorities for performing the defined process are
assigned and communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education,
training, and experience.
d)       Required resources and information
necessary for performing the defined process are
made available, allocated and used.
e)       Required infrastructure and work
environment for performing the defined process
are made available, managed and maintained.

Level 4 PA 4.1 Process Measurement - A
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified As a result of full achievement of this attribute:
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
f)        Appropriate data are collected and analysed
as a basis for understanding the behaviour of,
and to demonstrate the suitability and
effectiveness of the process, and to evaluate
where continuous improvement of the process can
be made.
As a result of full achievement of this attribute:
a)       Process information needs in support of
relevant defined business goals are established.
b)       Process measurement objectives are derived
from process information needs.
c)        Quantitative objectives for process
performance in support of relevant business goals
are established.
d)       Measures and frequency of measurement are
identified and defined in line with process
measurement objectives and quantitative objectives
for process performance.
e)       Results of measurement are collected, analysed
and reported in order to monitor the extent to which
the quantitative objectives for process performance
are met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined
and applied where applicable.
b)    Control limits of variation are established for
normal process performance.
c)   Measurement data are analysed for special causes
of variation.
d)   Corrective actions are taken to address special
causes of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
a) Pprocess improvement objectives for the process
are defined that support the relevant business goals.
b)  Appropriate data are analysed to identify
common causes of variations in process
performance.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to
achieve the process improvement objectives.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed
against the objectives of the defined process and
standard process.
b) Implementation of all agreed changes is managed
to ensure that any disruption to the process
performance is understood and acted upon.
c)   Based on actual performance, effectiveness of process
change is evaluated against the defined product
requirements and process objectives to determine
whether results are due to common or special
causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

ing to the business strategy while complying with governance requirements and providing defined and competent

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

EDM05 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

EDM05 Ensure Stakeholder Transparency

Purpose Satisfy the business requirement of continuously and demonstrably improving IT’s cost-efficie
standardised services that satisfy end-user expectations.

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating for the p
Performed achieves its process purpose.

EDM05-O1 The basis for reporting to stakeholders is

established.

EDM05-O2 Reporting is complete, timely and

accurate.

EDM05-O3 Stakeholder communication is effective

and requirements are met.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the
process are identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to
meet plans.
d)       Responsibilities and authorities for
performing the process are defined, assigned and
communicated.

PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
e)       Resources and information necessary for
performing the process are identified, made
available, allocated and used.
f)        Interfaces between the involved parties
are managed to ensure both effective
communication and also clear assignment of
responsibility.
a)       Requirements for the work products of the
process are defined.
b)       Requirements for documentation and
control of the work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance
with planned arrangements and adjusted as
necessary to meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate
tailoring guidelines, is defined that describes the
fundamental elements that must be incorporated
into a defined process.
b)       The sequence and interaction of the
standard process with other processes is
determined.
c)         Required competencies and roles for
performing a process are identified as part of the
standard process.
d)       Required infrastructure and work
environment for performing a process are
identified as part of the standard process.
e)       Suitable methods for monitoring the
effectiveness and suitability of the process are
determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon
an appropriately selected and/or tailored
standard process.
b)       Required roles, responsibilities and
authorities for performing the defined process
are assigned and communicated.
c)        Personnel performing the defined process
are competent on the basis of appropriate
education, training, and experience.
d)       Required resources and information
necessary for performing the defined process
are made available, allocated and used.

Level 4 PA 4.1 Process Measurement - A
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified As a result of full achievement of this attribute:
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
e)       Required infrastructure and work
environment for performing the defined
process are made available, managed and
maintained.
f)        Appropriate data are collected and
analysed as a basis for understanding the
behaviour of, and to demonstrate the
suitability and effectiveness of the process,
and to evaluate where continuous
improvement of the process can be made.
As a result of full achievement of this attribute:
a)       Process information needs in support of
relevant defined business goals are established.
b)       Process measurement objectives are derived
from process information needs.
c)        Quantitative objectives for process
performance in support of relevant business goals
are established.
d)       Measures and frequency of measurement
are identified and defined in line with process
measurement objectives and quantitative
objectives for process performance.
e)       Results of measurement are collected,
analysed and reported in order to monitor the
extent to which the quantitative objectives for
process performance are met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are
determined and applied where applicable.
b)    Control limits of variation are established for
normal process performance.
c)   Measurement data are analysed for special
causes of variation.
d)   Corrective actions are taken to address special
causes of variation.
e)    Control limits are re-established (as
necessary) following corrective action.
a) Pprocess improvement objectives for the
process are defined that support the relevant
business goals.
b)  Appropriate data are analysed to identify
common causes of variations in process
performance.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.

PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to
achieve the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed
against the objectives of the defined process and
standard process.
b) Implementation of all agreed changes is
managed to ensure that any disruption to the
process performance is understood and acted
upon.
c)   Based on actual performance, effectiveness of process
change is evaluated against the defined product
requirements and process objectives to
determine whether results are due to common or
special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

demonstrably improving IT’s cost-efficiency and its contribution to business profitability with integrated and
s.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

APO01 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

APO01 Define the Management Framework for IT

Purpose
Satisfy the business requirement of supplying accurate and timely control over current and fu

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating for the
Performed achieves its process purpose.

APO01-O1 An up-to-date and effective IT control

framework are defined and maintained

- APO01-O1A The IT organisation structure is fully

defined including management structures, roles and
responsibilities

- APO01-O1B Operational and communication

guidelines for the IT organisation are defined

- APO01-O1C The ownership of information and

systems is clearly defined.

- APO01-O1D The structure and processes of the IT

organisation support the enterprise strategy and
operating model.

APO1-O2. A set of policies is defined and maintained


Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
- APO01-O2A IT policies have been fully defined
- APO01-O2B IT objectives and policies are
understood and followed by all relevant staff and
stakeholders
APO01-O3 The IT control framework is effectively
implemented and communicated
- APO01-O3A Supporting enablers, for the IT control
framework are effectively implemented and
communicated
- APO01-O3B IT personnel and stakeholders
understand their roles and responsibiltiies
As a result of full achievement of this attribute:
a)       Objectives for the performance of the
process are identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to
meet plans.
d)       Responsibilities and authorities for
performing the process are defined, assigned and
communicated.
e)       Resources and information necessary for
performing the process are identified, made
available, allocated and used.
f)        Interfaces between the involved parties
are managed to ensure both effective
communication and also clear assignment of
responsibility.
a)       Requirements for the work products of the
process are defined.
b)       Requirements for documentation and control
of the work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance
with planned arrangements and adjusted as
necessary to meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate
tailoring guidelines, is defined that describes the
fundamental elements that must be incorporated
into a defined process.
b)       The sequence and interaction of the
standard process with other processes is
determined.
c)         Required competencies and roles for
performing a process are identified as part of the
standard process.

PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
Level 4 PA 4.1 Process Measurement - A
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
d)       Required infrastructure and work
environment for performing a process are
identified as part of the standard process.
e)       Suitable methods for monitoring the
effectiveness and suitability of the process are
determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard
process.
b)       Required roles, responsibilities and
authorities for performing the defined process
are assigned and communicated.
c)        Personnel performing the defined process
are competent on the basis of appropriate
education, training, and experience.
d)       Required resources and information
necessary for performing the defined process
are made available, allocated and used.
e)       Required infrastructure and work
environment for performing the defined
process are made available, managed and
maintained.
f)        Appropriate data are collected and
analysed as a basis for understanding the
behaviour of, and to demonstrate the suitability
and effectiveness of the process, and to
evaluate where continuous improvement of the
process can be made.
As a result of full achievement of this attribute:
a)       Process information needs in support of
relevant defined business goals are established.
b)       Process measurement objectives are derived
from process information needs.
c)        Quantitative objectives for process
performance in support of relevant business goals
are established.
d)       Measures and frequency of measurement
are identified and defined in line with process
measurement objectives and quantitative
objectives for process performance.
e)       Results of measurement are collected,
analysed and reported in order to monitor the
extent to which the quantitative objectives for
process performance are met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
 PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified As a result of full achievement of this attribute:
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
a) Analysis and control techniques are
determined and applied where applicable.
b)    Control limits of variation are established for
normal process performance.
c)   Measurement data are analysed for special
causes of variation.
d)   Corrective actions are taken to address special
causes of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
a) Pprocess improvement objectives for the
process are defined that support the relevant
business goals.
b)  Appropriate data are analysed to identify
common causes of variations in process
performance.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to
achieve the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed
against the objectives of the defined process and
standard process.
b) Implementation of all agreed changes is
managed to ensure that any disruption to the
process performance is understood and acted
upon.
c)   Based on actual performance, effectiveness of process
change is evaluated against the defined product
requirements and process objectives to determine
whether results are due to common or special
causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

and timely control over current and future IT services, associated risks and responsibilities.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

APO02 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

APO02 Define Strategy

Purpose Satisfy the business requirement of acquiring competent and motivated people to create and

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating for t
Performed achieves its process purpose.

APO02-O1 All aspects of the information technology

strategy are aligned with the enterprise strategy.

APO02-O2 The information technology strategy is cost-

effective, appropriate, realistic, achievable, enterprise-
focused and balanced.

APO02-O3 Clear and concrete short-term goals can be

derived from and traced back to specific long-term
initiatives, and can then be translated into operational
plans.

APO02-O4 IT is a value driver for the enterprise.

APO02-O5 There is awareness of the IT strategy and a

clear assignment of accountability for delivery.

Level 2 Managed PA 2.1 Performance Management - As a result of full achievement of this attribute:
A measure of the extent to which
the performance of the process is
managed.
Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
a)       Objectives for the performance of the process
are identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to meet
plans.
d)       Responsibilities and authorities for performing
the process are defined, assigned and
communicated.
e)       Resources and information necessary for
performing the process are identified, made
available, allocated and used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication
and also clear assignment of responsibility.
a)       Requirements for the work products of the
process are defined.
b)       Requirements for documentation and control of
the work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to
meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate
tailoring guidelines, is defined that describes the
fundamental elements that must be incorporated
into a defined process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for
performing a process are identified as part of the
standard process.
d)       Required infrastructure and work
environment for performing a process are
identified as part of the standard process.
e)       Suitable methods for monitoring the
effectiveness and suitability of the process are
determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard
process.
b)       Required roles, responsibilities and
authorities for performing the defined process are
assigned and communicated.

Level 4 PA 4.1 Process Measurement - A
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified As a result of full achievement of this attribute:
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
c)        Personnel performing the defined process are
competent on the basis of appropriate education,
training, and experience.
d)       Required resources and information
necessary for performing the defined process are
made available, allocated and used.
e)       Required infrastructure and work
environment for performing the defined process
are made available, managed and maintained.
f)        Appropriate data are collected and analysed
as a basis for understanding the behaviour of,
and to demonstrate the suitability and
effectiveness of the process, and to evaluate
where continuous improvement of the process can
be made.
As a result of full achievement of this attribute:
a)       Process information needs in support of
relevant defined business goals are established.
b)       Process measurement objectives are derived
from process information needs.
c)        Quantitative objectives for process
performance in support of relevant business goals
are established.
d)       Measures and frequency of measurement are
identified and defined in line with process
measurement objectives and quantitative objectives
for process performance.
e)       Results of measurement are collected, analysed
and reported in order to monitor the extent to which
the quantitative objectives for process performance
are met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined
and applied where applicable.
b)    Control limits of variation are established for
normal process performance.
c)   Measurement data are analysed for special causes
of variation.
d)   Corrective actions are taken to address special
causes of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
a) Pprocess improvement objectives for the process
are defined that support the relevant business goals.
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
b)  Appropriate data are analysed to identify
common causes of variations in process
performance.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to
achieve the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed
against the objectives of the defined process and
standard process.
b) Implementation of all agreed changes is managed
to ensure that any disruption to the process
performance is understood and acted upon.
c)   Based on actual performance, effectiveness of process
change is evaluated against the defined product
requirements and process objectives to determine
whether results are due to common or special
causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

and motivated people to create and deliver IT services.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

APO03 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

APO03 Manage Enterprise Architecture

Purpose Satisfy the business requirement of ensuring continuous and measurable improvement in the

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating f
Performed achieves its process purpose.

APO03-O1 A enterprise-appropriate and sustainable

enterprise architecture capability is in place.

APO03-O2 A portfolio of enterprise architecture services

supports agile enterprise change.

APO03-O3 Appropriate and up-to-date domain and/or

federated architectures exist that provide reliable
architecture information.

APO03-O4 A common enterprise architecture framework

and methodology as well as an integrated architecture
repository are used to enable re-use efficiencies across the
enterprise.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process are
identified.
b)       Performance of the process is planned and
monitored.
 A measure of the extent to which
the performance of the process is
managed.
PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
c)        Performance of the process is adjusted to meet
plans.
d)       Responsibilities and authorities for performing the
process are defined, assigned and communicated.
e)       Resources and information necessary for
performing the process are identified, made available,
allocated and used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication
and also clear assignment of responsibility.
a)       Requirements for the work products of the process
are defined.
b)       Requirements for documentation and control of the
work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to
meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate tailoring
guidelines, is defined that describes the fundamental
elements that must be incorporated into a defined
process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for performing a
process are identified as part of the standard process.
d)       Required infrastructure and work environment
for performing a process are identified as part of the
standard process.
e)       Suitable methods for monitoring the effectiveness
and suitability of the process are determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard process.
b)       Required roles, responsibilities and authorities
for performing the defined process are assigned and
communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education,
training, and experience.
d)       Required resources and information necessary
for performing the defined process are made
available, allocated and used.

Level 4 PA 4.1 Process Measurement - A As a result of full achievement of this attribute:
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
e)       Required infrastructure and work environment
for performing the defined process are made
available, managed and maintained.
f)        Appropriate data are collected and analysed as
a basis for understanding the behaviour of, and to
demonstrate the suitability and effectiveness of the
process, and to evaluate where continuous
improvement of the process can be made.
a)       Process information needs in support of relevant
defined business goals are established.
b)       Process measurement objectives are derived from
process information needs.
c)        Quantitative objectives for process performance in
support of relevant business goals are established.
d)       Measures and frequency of measurement are
identified and defined in line with process measurement
objectives and quantitative objectives for process
performance.
e)       Results of measurement are collected, analysed
and reported in order to monitor the extent to which the
quantitative objectives for process performance are met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined and
applied where applicable.
b)    Control limits of variation are established for normal
process performance.
c)   Measurement data are analysed for special causes of
variation.
d)   Corrective actions are taken to address special causes
of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
As a result of full achievement of this attribute:
a) Pprocess improvement objectives for the process are
defined that support the relevant business goals.
b)  Appropriate data are analysed to identify common
causes of variations in process performance.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to achieve
the process improvement objectives.
As a result of full achievement of this attribute:
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
a) Impact of all proposed changes is assessed against
the objectives of the defined process and standard
process.
b) Implementation of all agreed changes is managed to
ensure that any disruption to the process performance is
understood and acted upon.
c)   Based on actual performance, effectiveness of process
change is evaluated against the defined product
requirements and process objectives to determine
whether results are due to common or special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

measurable improvement in the quality of IT services delivered.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1

APO04 PA 1.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

APO04 Manage Innovation

Purpose
Satisfy the business requirement of analysing, communicating and managing IT risks and thei

Assess whether the following Criteria

outcomes are achieved.

Level 0 The process is not implemented, or At this level, there is little or no evidence of any achievement of
Incomplete fails to achieve its process purpose. the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved:
Performed achieves its process purpose.

APO04-O1 Enterprise value is created through the qualification

and staging of the most appropriate advances and innovations
in technology, IT methods and solutions.

APO04-O2 Enterprise objectives are met with improved quality

benefits and/or reduced cost as a result of the identification
and implementation of innovative solutions.

APO04-O3 Innovation is promoted and enabled and forms part

of the enterprise culture.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process are
identified.
b)       Performance of the process is planned and monitored.

c)        Performance of the process is adjusted to meet plans.


PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
d)       Responsibilities and authorities for performing the
process are defined, assigned and communicated.
e)       Resources and information necessary for performing
the process are identified, made available, allocated and
used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication and
also clear assignment of responsibility.
a)       Requirements for the work products of the process are
defined.
b)       Requirements for documentation and control of the
work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to meet
requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate tailoring
guidelines, is defined that describes the fundamental
elements that must be incorporated into a defined process.
b)       The sequence and interaction of the standard process
with other processes is determined.
c)         Required competencies and roles for performing a
process are identified as part of the standard process.
d)       Required infrastructure and work environment for
performing a process are identified as part of the
standard process.
e)       Suitable methods for monitoring the effectiveness and
suitability of the process are determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard process.
b)       Required roles, responsibilities and authorities for
performing the defined process are assigned and
communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education, training,
and experience.
d)       Required resources and information necessary for
performing the defined process are made available,
allocated and used.
e)       Required infrastructure and work environment for
performing the defined process are made available,
managed and maintained.

Level 4 PA 4.1 Process Measurement - A As a result of full achievement of this attribute:
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
f)        Appropriate data are collected and analysed as a
basis for understanding the behaviour of, and to
demonstrate the suitability and effectiveness of the
process, and to evaluate where continuous improvement
of the process can be made.
a)       Process information needs in support of relevant
defined business goals are established.
b)       Process measurement objectives are derived from
process information needs.
c)        Quantitative objectives for process performance in
support of relevant business goals are established.
d)       Measures and frequency of measurement are
identified and defined in line with process measurement
objectives and quantitative objectives for process
performance.
e)       Results of measurement are collected, analysed and
reported in order to monitor the extent to which the
quantitative objectives for process performance are met.
f) Measurement results are used to characterise process
performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined and
applied where applicable.
b)    Control limits of variation are established for normal
process performance.
c)   Measurement data are analysed for special causes of
variation.
d)   Corrective actions are taken to address special causes of
variation.
e)    Control limits are re-established (as necessary)
following corrective action.
As a result of full achievement of this attribute:
a) Pprocess improvement objectives for the process are
defined that support the relevant business goals.
b)  Appropriate data are analysed to identify common
causes of variations in process performance.
c)   Appropriate data are analysed to identify opportunities
for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to achieve the
process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed against the
objectives of the defined process and standard process.
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
b) Implementation of all agreed changes is managed to
ensure that any disruption to the process performance is
understood and acted upon.

c)   Based on actual performance, effectiveness of process change is

evaluated against the defined product requirements and
process objectives to determine whether results are due to
common or special causes.
 Level 2 Level 3 Level 4

PA 2.1 PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

mmunicating and managing IT risks and their potential impact on business processes and goals.

Criteria Are Partially Largely Fully

Comment
Met Y/N Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

APO05 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

APO05 Manage Portfolio

Purpose
Satisfy the business requirement of ensuring the delivery of project results within agreed-upo

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating for t
Performed achieves its process purpose.

APO05-O1 An appropriate investment mix is defined and

aligned with enterprise strategy.

APO05-O2 Sources of investment funding are identified

and available.

APO05-O3 Programme business cases are evaluated and

prioritised before funds are allocated.

APO05-O4 A comprehensive and accurate view of the

investment portfolio performance exists.

APO05-O5 Investment programme changes are reflected

in the relevant IT service, asset and resource portfolios.

APO05-O6 Realised benefits have been measured.

Level 2 Managed PA 2.1 Performance Management - As a result of full achievement of this attribute:
A measure of the extent to which
the performance of the process is
managed.
Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
a)       Objectives for the performance of the process
are identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to meet
plans.
d)       Responsibilities and authorities for performing
the process are defined, assigned and communicated.
e)       Resources and information necessary for
performing the process are identified, made
available, allocated and used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication
and also clear assignment of responsibility.
a)       Requirements for the work products of the
process are defined.
b)       Requirements for documentation and control of
the work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to
meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate
tailoring guidelines, is defined that describes the
fundamental elements that must be incorporated into
a defined process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for
performing a process are identified as part of the
standard process.
d)       Required infrastructure and work
environment for performing a process are
identified as part of the standard process.
e)       Suitable methods for monitoring the
effectiveness and suitability of the process are
determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard
process.
b)       Required roles, responsibilities and
authorities for performing the defined process are
assigned and communicated.

Level 4 PA 4.1 Process Measurement - A
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified As a result of full achievement of this attribute:
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
c)        Personnel performing the defined process are
competent on the basis of appropriate education,
training, and experience.
d)       Required resources and information
necessary for performing the defined process are
made available, allocated and used.
e)       Required infrastructure and work
environment for performing the defined process
are made available, managed and maintained.
f)        Appropriate data are collected and analysed
as a basis for understanding the behaviour of,
and to demonstrate the suitability and
effectiveness of the process, and to evaluate
where continuous improvement of the process can
be made.
As a result of full achievement of this attribute:
a)       Process information needs in support of relevant
defined business goals are established.
b)       Process measurement objectives are derived
from process information needs.
c)        Quantitative objectives for process performance
in support of relevant business goals are established.
d)       Measures and frequency of measurement are
identified and defined in line with process
measurement objectives and quantitative objectives
for process performance.
e)       Results of measurement are collected, analysed
and reported in order to monitor the extent to which
the quantitative objectives for process performance
are met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined
and applied where applicable.
b)    Control limits of variation are established for
normal process performance.
c)   Measurement data are analysed for special causes
of variation.
d)   Corrective actions are taken to address special
causes of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
a) Pprocess improvement objectives for the process
are defined that support the relevant business goals.
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
b)  Appropriate data are analysed to identify common
causes of variations in process performance.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to
achieve the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed against
the objectives of the defined process and standard
process.
b) Implementation of all agreed changes is managed
to ensure that any disruption to the process
performance is understood and acted upon.
c)   Based on actual performance, effectiveness of process
change is evaluated against the defined product
requirements and process objectives to determine
whether results are due to common or special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

of project results within agreed-upon time frames, budget and quality.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

APO06 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

APO06 Manage Budget and Costs

Purpose Satisfy the business requirement of sustaining or extending the business strategy and governa
about benefits, costs and risks

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating for th
Performed achieves its process purpose.

APO06-O1 A transparent and complete budget for IT is

established and maintained.

APO06-O2 The allocation of IT resources for IT

initiatives is prioritised effectively.

APO06-O3 A model to allocate costs for services is used

and maintained.

APO06-O4 A cost management process that compares

budgets to actual costs is in place.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process
are identified.
b)       Performance of the process is planned and
monitored.
 the performance of the process is
managed.
PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
c)        Performance of the process is adjusted to
meet plans.
d)       Responsibilities and authorities for performing
the process are defined, assigned and
communicated.
e)       Resources and information necessary for
performing the process are identified, made
available, allocated and used.
f)        Interfaces between the involved parties
are managed to ensure both effective
communication and also clear assignment of
responsibility.
a)       Requirements for the work products of the
process are defined.
b)       Requirements for documentation and control
of the work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance
with planned arrangements and adjusted as
necessary to meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate
tailoring guidelines, is defined that describes the
fundamental elements that must be incorporated
into a defined process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for
performing a process are identified as part of the
standard process.
d)       Required infrastructure and work
environment for performing a process are
identified as part of the standard process.
e)       Suitable methods for monitoring the
effectiveness and suitability of the process are
determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard
process.
b)       Required roles, responsibilities and
authorities for performing the defined process
are assigned and communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education,
training, and experience.

Level 4 PA 4.1 Process Measurement - A
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified As a result of full achievement of this attribute:
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
d)       Required resources and information
necessary for performing the defined process
are made available, allocated and used.
e)       Required infrastructure and work
environment for performing the defined process
are made available, managed and maintained.
f)        Appropriate data are collected and
analysed as a basis for understanding the
behaviour of, and to demonstrate the suitability
and effectiveness of the process, and to
evaluate where continuous improvement of the
process can be made.
As a result of full achievement of this attribute:
a)       Process information needs in support of
relevant defined business goals are established.
b)       Process measurement objectives are derived
from process information needs.
c)        Quantitative objectives for process
performance in support of relevant business goals
are established.
d)       Measures and frequency of measurement are
identified and defined in line with process
measurement objectives and quantitative
objectives for process performance.
e)       Results of measurement are collected,
analysed and reported in order to monitor the
extent to which the quantitative objectives for
process performance are met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined
and applied where applicable.
b)    Control limits of variation are established for
normal process performance.
c)   Measurement data are analysed for special
causes of variation.
d)   Corrective actions are taken to address special
causes of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
a) Pprocess improvement objectives for the
process are defined that support the relevant
business goals.
b)  Appropriate data are analysed to identify
common causes of variations in process
performance.
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to
achieve the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed
against the objectives of the defined process and
standard process.
b) Implementation of all agreed changes is
managed to ensure that any disruption to the
process performance is understood and acted upon.
c)   Based on actual performance, effectiveness of process
change is evaluated against the defined product
requirements and process objectives to determine
whether results are due to common or special
causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

ng the business strategy and governance requirements while being transparent

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1

APO07 PA 1.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

APO07 Manage Human Resources

Purpose
Satisfy the business requirement of aligning available applications with business and security

Assess whether the following Criteria

outcomes are achieved.

Level 0 The process is not implemented, or At this level, there is little or no evidence of any achievement of
Incomplete fails to achieve its process purpose. the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved:
Performed achieves its process purpose.

APO07-O1 The IT organisational structure and relationships

are flexible and responsive.

- APO07-O1A The IT organisation structure provides the

necessary roles and responsibilities to achieve organisational
goals.

- APO07-O1B Risks of overdependence on key resources are

mitigated

APO07- O2 Human resoures are effectively and efficiently

managed.

- APO07-O2A The enterprise has sufficient human resources to

achieve organisational goals

- APO07-O2B Personnel have the required skills, competencies

and abilities to achieve organsiational goals.

- APO07-O2C Staff performance is regularly reviewed and

evaluated.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
- APO07-O2D Consultants and contract staff comply with
policies and contractual agreements
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process are
identified.
b)       Performance of the process is planned and monitored.
c)        Performance of the process is adjusted to meet plans.
d)       Responsibilities and authorities for performing the
process are defined, assigned and communicated.
e)       Resources and information necessary for performing
the process are identified, made available, allocated and
used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication and
also clear assignment of responsibility.
a)       Requirements for the work products of the process are
defined.
b)       Requirements for documentation and control of the
work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to meet
requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate tailoring
guidelines, is defined that describes the fundamental
elements that must be incorporated into a defined process.
b)       The sequence and interaction of the standard process
with other processes is determined.
c)         Required competencies and roles for performing a
process are identified as part of the standard process.
d)       Required infrastructure and work environment for
performing a process are identified as part of the
standard process.
e)       Suitable methods for monitoring the effectiveness and
suitability of the process are determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard process.
b)       Required roles, responsibilities and authorities for
performing the defined process are assigned and
communicated.

Level 4 PA 4.1 Process Measurement - A As a result of full achievement of this attribute:
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
c)        Personnel performing the defined process are
competent on the basis of appropriate education, training,
and experience.
d)       Required resources and information necessary for
performing the defined process are made available,
allocated and used.
e)       Required infrastructure and work environment for
performing the defined process are made available,
managed and maintained.
f)        Appropriate data are collected and analysed as a
basis for understanding the behaviour of, and to
demonstrate the suitability and effectiveness of the
process, and to evaluate where continuous improvement
of the process can be made.
a)       Process information needs in support of relevant
defined business goals are established.
b)       Process measurement objectives are derived from
process information needs.
c)        Quantitative objectives for process performance in
support of relevant business goals are established.
d)       Measures and frequency of measurement are
identified and defined in line with process measurement
objectives and quantitative objectives for process
performance.
e)       Results of measurement are collected, analysed and
reported in order to monitor the extent to which the
quantitative objectives for process performance are met.
f) Measurement results are used to characterise process
performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined and
applied where applicable.
b)    Control limits of variation are established for normal
process performance.
c)   Measurement data are analysed for special causes of
variation.
d)   Corrective actions are taken to address special causes of
variation.
e)    Control limits are re-established (as necessary) following
corrective action.
As a result of full achievement of this attribute:
a) Pprocess improvement objectives for the process are
defined that support the relevant business goals.
b)  Appropriate data are analysed to identify common
causes of variations in process performance.
c)   Appropriate data are analysed to identify opportunities
for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.

PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
e)   An implementation strategy is established to achieve the
process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed against the
objectives of the defined process and standard process.
b) Implementation of all agreed changes is managed to
ensure that any disruption to the process performance is
understood and acted upon.
c)   Based on actual performance, effectiveness of process change is
evaluated against the defined product requirements and
process objectives to determine whether results are due to
common or special causes.
 Level 2 Level 3 Level 4

PA 2.1 PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

ble applications with business and security requirements, and doing so in a timely manner and at a reasonable cost.

Criteria Are Partially Largely Fully

Comment
Met Y/N Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

APO08 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

APO08 Manage Relationships

Purpose
Satisfy the business requirement of acquiring and maintaining an integrated and standardised

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any achievement
Incomplete fails to achieve its process purpose. of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating
Performed achieves its process purpose.

APO08-O1 Business strategies, plans and requirements are

well understood, documented and approved.

APO08-O2 Good relationships exist between enterprise and IT.

APO08-O3 Business stakeholders are aware of technology-

enabled opportunities.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process are
identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to meet
plans.
d)       Responsibilities and authorities for performing the
process are defined, assigned and communicated.

PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
e)       Resources and information necessary for performing
the process are identified, made available, allocated and
used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication and
also clear assignment of responsibility.
a)       Requirements for the work products of the process
are defined.
b)       Requirements for documentation and control of the
work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to meet
requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate tailoring
guidelines, is defined that describes the fundamental
elements that must be incorporated into a defined
process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for performing a
process are identified as part of the standard process.
d)       Required infrastructure and work environment for
performing a process are identified as part of the
standard process.
e)       Suitable methods for monitoring the effectiveness
and suitability of the process are determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard process.
b)       Required roles, responsibilities and authorities for
performing the defined process are assigned and
communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education, training,
and experience.
d)       Required resources and information necessary for
performing the defined process are made available,
allocated and used.
e)       Required infrastructure and work environment for
performing the defined process are made available,
managed and maintained.

Level 4 PA 4.1 Process Measurement - A As a result of full achievement of this attribute:
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
f)        Appropriate data are collected and analysed as a
basis for understanding the behaviour of, and to
demonstrate the suitability and effectiveness of the
process, and to evaluate where continuous
improvement of the process can be made.
a)       Process information needs in support of relevant
defined business goals are established.
b)       Process measurement objectives are derived from
process information needs.
c)        Quantitative objectives for process performance in
support of relevant business goals are established.
d)       Measures and frequency of measurement are
identified and defined in line with process measurement
objectives and quantitative objectives for process
performance.
e)       Results of measurement are collected, analysed and
reported in order to monitor the extent to which the
quantitative objectives for process performance are met.
f) Measurement results are used to characterise process
performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined and
applied where applicable.
b)    Control limits of variation are established for normal
process performance.
c)   Measurement data are analysed for special causes of
variation.
d)   Corrective actions are taken to address special causes
of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
As a result of full achievement of this attribute:
a) Pprocess improvement objectives for the process are
defined that support the relevant business goals.
b)  Appropriate data are analysed to identify common
causes of variations in process performance.
c)   Appropriate data are analysed to identify opportunities
for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to achieve
the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed against the
objectives of the defined process and standard process.
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
b) Implementation of all agreed changes is managed to
ensure that any disruption to the process performance is
understood and acted upon.

c)   Based on actual performance, effectiveness of process change

is evaluated against the defined product requirements and
process objectives to determine whether results are due
to common or special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

an integrated and standardised IT infrastructure.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

APO09 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

APO09 Manage Service Agreements

Purpose Satisfy the business requirement of ensuring stakeholder satisfaction with service offerings a
technology solutions throughout the business.

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating for
Performed achieves its process purpose.

APO09-O1 IT services are identified, defined and

catalogued according to enterprise needs.

APO09-O2 Service agreements reflect enterprise needs

and the capabilities of IT.

APO09-O3 IT services perform as stipulated in service

agreements.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process
are identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to meet
plans.
d)       Responsibilities and authorities for performing
the process are defined, assigned and communicated.

PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
e)       Resources and information necessary for
performing the process are identified, made available,
allocated and used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication
and also clear assignment of responsibility.
a)       Requirements for the work products of the
process are defined.
b)       Requirements for documentation and control of
the work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to
meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate
tailoring guidelines, is defined that describes the
fundamental elements that must be incorporated into
a defined process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for performing
a process are identified as part of the standard
process.
d)       Required infrastructure and work environment
for performing a process are identified as part of
the standard process.
e)       Suitable methods for monitoring the
effectiveness and suitability of the process are
determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard
process.
b)       Required roles, responsibilities and authorities
for performing the defined process are assigned
and communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education,
training, and experience.
d)       Required resources and information necessary
for performing the defined process are made
available, allocated and used.
e)       Required infrastructure and work environment
for performing the defined process are made
available, managed and maintained.

Level 4 PA 4.1 Process Measurement - A As a result of full achievement of this attribute:
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
f)        Appropriate data are collected and analysed
as a basis for understanding the behaviour of, and
to demonstrate the suitability and effectiveness of
the process, and to evaluate where continuous
improvement of the process can be made.
a)       Process information needs in support of relevant
defined business goals are established.
b)       Process measurement objectives are derived
from process information needs.
c)        Quantitative objectives for process performance
in support of relevant business goals are established.
d)       Measures and frequency of measurement are
identified and defined in line with process
measurement objectives and quantitative objectives
for process performance.
e)       Results of measurement are collected, analysed
and reported in order to monitor the extent to which
the quantitative objectives for process performance
are met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined
and applied where applicable.
b)    Control limits of variation are established for
normal process performance.
c)   Measurement data are analysed for special causes
of variation.
d)   Corrective actions are taken to address special
causes of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
As a result of full achievement of this attribute:
a) Pprocess improvement objectives for the process
are defined that support the relevant business goals.
b)  Appropriate data are analysed to identify common
causes of variations in process performance.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to
achieve the process improvement objectives.
As a result of full achievement of this attribute:
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
a) Impact of all proposed changes is assessed against
the objectives of the defined process and standard
process.
b) Implementation of all agreed changes is managed
to ensure that any disruption to the process
performance is understood and acted upon.
c)   Based on actual performance, effectiveness of process
change is evaluated against the defined product
requirements and process objectives to determine
whether results are due to common or special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

atisfaction with service offerings and service levels and seamlessly integrating the use of applications and

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

APO10 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

APO10 Manage Suppliers

Purpose
Satisfy the business requirement of improving IT’s adherence to acquisition processes to enh

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any achievement
Incomplete fails to achieve its process purpose. of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating
Performed achieves its process purpose.

APO10-O1 Suppliers perform as agreed.

APO10-O2 Supplier risks are assessed and properly addressed.

APO10-O3 Supplier relationships are working effectively.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process are
identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to meet
plans.
d)       Responsibilities and authorities for performing the
process are defined, assigned and communicated.

e)       Resources and information necessary for performing

the process are identified, made available, allocated and
used.

PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
f)        Interfaces between the involved parties are
managed to ensure both effective communication and
also clear assignment of responsibility.
a)       Requirements for the work products of the process
are defined.
b)       Requirements for documentation and control of the
work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to meet
requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate tailoring
guidelines, is defined that describes the fundamental
elements that must be incorporated into a defined process.
b)       The sequence and interaction of the standard process
with other processes is determined.
c)         Required competencies and roles for performing a
process are identified as part of the standard process.
d)       Required infrastructure and work environment for
performing a process are identified as part of the
standard process.
e)       Suitable methods for monitoring the effectiveness
and suitability of the process are determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard process.
b)       Required roles, responsibilities and authorities for
performing the defined process are assigned and
communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education, training,
and experience.
d)       Required resources and information necessary for
performing the defined process are made available,
allocated and used.
e)       Required infrastructure and work environment for
performing the defined process are made available,
managed and maintained.
f)        Appropriate data are collected and analysed as a
basis for understanding the behaviour of, and to
demonstrate the suitability and effectiveness of the
process, and to evaluate where continuous
improvement of the process can be made.
Level 4 PA 4.1 Process Measurement - A As a result of full achievement of this attribute:
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
a)       Process information needs in support of relevant
defined business goals are established.
b)       Process measurement objectives are derived from
process information needs.
c)        Quantitative objectives for process performance in
support of relevant business goals are established.
d)       Measures and frequency of measurement are
identified and defined in line with process measurement
objectives and quantitative objectives for process
performance.
e)       Results of measurement are collected, analysed and
reported in order to monitor the extent to which the
quantitative objectives for process performance are met.
f) Measurement results are used to characterise process
performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined and
applied where applicable.
b)    Control limits of variation are established for normal
process performance.
c)   Measurement data are analysed for special causes of
variation.
d)   Corrective actions are taken to address special causes
of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
As a result of full achievement of this attribute:
a) Pprocess improvement objectives for the process are
defined that support the relevant business goals.
b)  Appropriate data are analysed to identify common
causes of variations in process performance.
c)   Appropriate data are analysed to identify opportunities
for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to achieve
the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed against the
objectives of the defined process and standard process.
b) Implementation of all agreed changes is managed to
ensure that any disruption to the process performance is
understood and acted upon.
improvement objectives.

c)   Based on actual performance, effectiveness of process change

is evaluated against the defined product requirements and
process objectives to determine whether results are due to
common or special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

acquisition processes to enhance effectiveness, cost-efficiency and contribution to business profitability.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

APO11 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

APO11 Manage Quality

Purpose
Satisfy the business requirement of managing IT changes in alignment with the business strat

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating for the
Performed achieves its process purpose.

APO11-O1 Stakeholders are satisfied with the quality

of solutions and services.

APO11-O2 Project and service delivery results are

predictable.

APO11-O3 Quality requirements are implemented in

all processes.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the
process are identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to
meet plans.
d)       Responsibilities and authorities for
performing the process are defined, assigned and
communicated.

PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
e)       Resources and information necessary for
performing the process are identified, made
available, allocated and used.
f)        Interfaces between the involved parties
are managed to ensure both effective
communication and also clear assignment of
responsibility.
a)       Requirements for the work products of the
process are defined.
b)       Requirements for documentation and control
of the work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance
with planned arrangements and adjusted as
necessary to meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate
tailoring guidelines, is defined that describes the
fundamental elements that must be incorporated
into a defined process.
b)       The sequence and interaction of the
standard process with other processes is
determined.
c)         Required competencies and roles for
performing a process are identified as part of the
standard process.
d)       Required infrastructure and work
environment for performing a process are
identified as part of the standard process.
e)       Suitable methods for monitoring the
effectiveness and suitability of the process are
determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard
process.
b)       Required roles, responsibilities and
authorities for performing the defined process
are assigned and communicated.
c)        Personnel performing the defined process
are competent on the basis of appropriate
education, training, and experience.
d)       Required resources and information
necessary for performing the defined process
are made available, allocated and used.

Level 4 PA 4.1 Process Measurement - A
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified As a result of full achievement of this attribute:
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
e)       Required infrastructure and work
environment for performing the defined
process are made available, managed and
maintained.
f)        Appropriate data are collected and
analysed as a basis for understanding the
behaviour of, and to demonstrate the suitability
and effectiveness of the process, and to
evaluate where continuous improvement of the
process can be made.
As a result of full achievement of this attribute:
a)       Process information needs in support of
relevant defined business goals are established.
b)       Process measurement objectives are derived
from process information needs.
c)        Quantitative objectives for process
performance in support of relevant business goals
are established.
d)       Measures and frequency of measurement
are identified and defined in line with process
measurement objectives and quantitative
objectives for process performance.
e)       Results of measurement are collected,
analysed and reported in order to monitor the
extent to which the quantitative objectives for
process performance are met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are
determined and applied where applicable.
b)    Control limits of variation are established for
normal process performance.
c)   Measurement data are analysed for special
causes of variation.
d)   Corrective actions are taken to address special
causes of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
a) Pprocess improvement objectives for the
process are defined that support the relevant
business goals.
b)  Appropriate data are analysed to identify
common causes of variations in process
performance.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.

PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to
achieve the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed
against the objectives of the defined process and
standard process.
b) Implementation of all agreed changes is
managed to ensure that any disruption to the
process performance is understood and acted
upon.
c)   Based on actual performance, effectiveness of process
change is evaluated against the defined product
requirements and process objectives to determine
whether results are due to common or special
causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

es in alignment with the business strategy to reduce solution and service delivery defects and rework.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

APO12 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

APO12 Manage Risk

Purpose
Satisfy the business requirement of implementing new or changed systems that function with

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating for t
Performed achieves its process purpose.

APO12-O1 Relevant data are identified and captured to

enable effective IT-related risk identification, analysis,
management and reporting.

APO12-O2 A current and complete risk profile exists.

APO12-O3 Risk management actions are managed as a

portfolio of significant incidents not identified and
included in the risk management portfolio.

APO12-O4 Effective measures for seizing opportunities

or limiting the magnitude of loss are launched in a
timely manner.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process
are identified.
b)       Performance of the process is planned and
monitored.
 the performance of the process is
managed.
PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
c)        Performance of the process is adjusted to meet
plans.
d)       Responsibilities and authorities for performing
the process are defined, assigned and
communicated.
e)       Resources and information necessary for
performing the process are identified, made
available, allocated and used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication
and also clear assignment of responsibility.
a)       Requirements for the work products of the
process are defined.
b)       Requirements for documentation and control of
the work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to
meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate
tailoring guidelines, is defined that describes the
fundamental elements that must be incorporated
into a defined process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for
performing a process are identified as part of the
standard process.
d)       Required infrastructure and work
environment for performing a process are
identified as part of the standard process.
e)       Suitable methods for monitoring the
effectiveness and suitability of the process are
determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard
process.
b)       Required roles, responsibilities and
authorities for performing the defined process are
assigned and communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education,
training, and experience.

Level 4 PA 4.1 Process Measurement - A
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified As a result of full achievement of this attribute:
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
d)       Required resources and information
necessary for performing the defined process are
made available, allocated and used.
e)       Required infrastructure and work
environment for performing the defined process
are made available, managed and maintained.
f)        Appropriate data are collected and analysed
as a basis for understanding the behaviour of,
and to demonstrate the suitability and
effectiveness of the process, and to evaluate
where continuous improvement of the process can
be made.
As a result of full achievement of this attribute:
a)       Process information needs in support of
relevant defined business goals are established.
b)       Process measurement objectives are derived
from process information needs.
c)        Quantitative objectives for process
performance in support of relevant business goals
are established.
d)       Measures and frequency of measurement are
identified and defined in line with process
measurement objectives and quantitative objectives
for process performance.
e)       Results of measurement are collected, analysed
and reported in order to monitor the extent to which
the quantitative objectives for process performance
are met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined
and applied where applicable.
b)    Control limits of variation are established for
normal process performance.
c)   Measurement data are analysed for special causes
of variation.
d)   Corrective actions are taken to address special
causes of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
a) Pprocess improvement objectives for the process
are defined that support the relevant business goals.
b)  Appropriate data are analysed to identify
common causes of variations in process
performance.
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to
achieve the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed
against the objectives of the defined process and
standard process.
b) Implementation of all agreed changes is managed
to ensure that any disruption to the process
performance is understood and acted upon.
c)   Based on actual performance, effectiveness of process
change is evaluated against the defined product
requirements and process objectives to determine
whether results are due to common or special
causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

changed systems that function without major problems after installation.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

APO13 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

APO13 Manage Security

Purpose
Satisfy the business requirement of ensuring the alignment of key IT services with the busine

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating fo
Performed achieves its process purpose.

APO13-O1 A system is in place that considers and

effectively addresses enterprise information security
requirements.

APO13-O2 A security plan has been established, accepted

and communicated throughout the enterprise.

APO13-O3 Information security solutions are implemented

and operated consistently throughout the enterprise.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process are
identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to meet
plans.
d)       Responsibilities and authorities for performing the
process are defined, assigned and communicated.

PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
e)       Resources and information necessary for
performing the process are identified, made available,
allocated and used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication
and also clear assignment of responsibility.
a)       Requirements for the work products of the process
are defined.
b)       Requirements for documentation and control of
the work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to
meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate tailoring
guidelines, is defined that describes the fundamental
elements that must be incorporated into a defined
process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for performing a
process are identified as part of the standard process.
d)       Required infrastructure and work environment
for performing a process are identified as part of
the standard process.
e)       Suitable methods for monitoring the effectiveness
and suitability of the process are determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard process.
b)       Required roles, responsibilities and authorities
for performing the defined process are assigned and
communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education,
training, and experience.
d)       Required resources and information necessary
for performing the defined process are made
available, allocated and used.
e)       Required infrastructure and work environment
for performing the defined process are made
available, managed and maintained.

Level 4 PA 4.1 Process Measurement - A As a result of full achievement of this attribute:
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
f)        Appropriate data are collected and analysed as
a basis for understanding the behaviour of, and to
demonstrate the suitability and effectiveness of the
process, and to evaluate where continuous
improvement of the process can be made.
a)       Process information needs in support of relevant
defined business goals are established.
b)       Process measurement objectives are derived from
process information needs.
c)        Quantitative objectives for process performance in
support of relevant business goals are established.
d)       Measures and frequency of measurement are
identified and defined in line with process measurement
objectives and quantitative objectives for process
performance.
e)       Results of measurement are collected, analysed
and reported in order to monitor the extent to which
the quantitative objectives for process performance are
met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined and
applied where applicable.
b)    Control limits of variation are established for normal
process performance.
c)   Measurement data are analysed for special causes of
variation.
d)   Corrective actions are taken to address special
causes of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
As a result of full achievement of this attribute:
a) Pprocess improvement objectives for the process are
defined that support the relevant business goals.
b)  Appropriate data are analysed to identify common
causes of variations in process performance.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to achieve
the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed against
the objectives of the defined process and standard
process.
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
b) Implementation of all agreed changes is managed to
ensure that any disruption to the process performance is
understood and acted upon.

c)   Based on actual performance, effectiveness of process
change is evaluated against the defined product
requirements and process objectives to determine
whether results are due to common or special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

f key IT services with the business needs.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

BAI01 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

BAI01 Manage Programmes and Projects

Purpose
Satisfy the business requirement of providing satisfactory third-party services while being tra

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any achievement
Incomplete fails to achieve its process purpose. of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating
Performed achieves its process purpose.

BAI01-O1 Relevant stakeholders are engaged in the

programmes and projects.

BAI01-O2 The scope and outcomes of programmes and

projects are linked to enterprise objectives and confirmed to
be viable.

BAI01-O3 Programme and project activities are planned to

address the scope and achieve the expected outcomes.

BAI01-O4 The programme and project activities are

monitored, controlled and reported to achieve the plans.

BAI01-O5 There are sufficient programme and project

resources to perform activities according to the plans.

BAI01-O6 The programme and project expected benefits are

achieved and accepted,.
Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process are
identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to meet
plans.
d)       Responsibilities and authorities for performing the
process are defined, assigned and communicated.
e)       Resources and information necessary for performing
the process are identified, made available, allocated and
used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication and
also clear assignment of responsibility.
a)       Requirements for the work products of the process
are defined.
b)       Requirements for documentation and control of the
work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to meet
requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate tailoring
guidelines, is defined that describes the fundamental
elements that must be incorporated into a defined
process.
b)       The sequence and interaction of the standard process
with other processes is determined.
c)         Required competencies and roles for performing a
process are identified as part of the standard process.
d)       Required infrastructure and work environment for
performing a process are identified as part of the
standard process.
e)       Suitable methods for monitoring the effectiveness
and suitability of the process are determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard process.
b)       Required roles, responsibilities and authorities for
performing the defined process are assigned and
communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education, training,
and experience.

Level 4 PA 4.1 Process Measurement - A As a result of full achievement of this attribute:
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
d)       Required resources and information necessary for
performing the defined process are made available,
allocated and used.
e)       Required infrastructure and work environment for
performing the defined process are made available,
managed and maintained.
f)        Appropriate data are collected and analysed as a
basis for understanding the behaviour of, and to
demonstrate the suitability and effectiveness of the
process, and to evaluate where continuous
improvement of the process can be made.
a)       Process information needs in support of relevant
defined business goals are established.
b)       Process measurement objectives are derived from
process information needs.
c)        Quantitative objectives for process performance in
support of relevant business goals are established.
d)       Measures and frequency of measurement are
identified and defined in line with process measurement
objectives and quantitative objectives for process
performance.
e)       Results of measurement are collected, analysed and
reported in order to monitor the extent to which the
quantitative objectives for process performance are met.
f) Measurement results are used to characterise process
performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined and
applied where applicable.
b)    Control limits of variation are established for normal
process performance.
c)   Measurement data are analysed for special causes of
variation.
d)   Corrective actions are taken to address special causes
of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
As a result of full achievement of this attribute:
a) Pprocess improvement objectives for the process are
defined that support the relevant business goals.
b)  Appropriate data are analysed to identify common
causes of variations in process performance.
c)   Appropriate data are analysed to identify opportunities
for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to achieve
the process improvement objectives.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed against the
objectives of the defined process and standard process.
b) Implementation of all agreed changes is managed to
ensure that any disruption to the process performance is
understood and acted upon.
c)   Based on actual performance, effectiveness of process change
is evaluated against the defined product requirements and
process objectives to determine whether results are due to
common or special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

party services while being transparent about benefits, costs and risks.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

BAI02 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

BAI02 Define Requirements

Purpose
Satisfy the business requirement of optimising the performance of IT infrastructure, resource

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any achievement
Incomplete fails to achieve its process purpose. of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating
Performed achieves its process purpose.

BAI02-O1 Business functional and technical requirements are

defined to reflect enterprise needs and expectations.

BAI02-O2 The proposed solution satisfies business functional,

technical and compliance requirements.

BAI02-O3 Risks associated with the requirements have been

addressed in the proposed solution.

BAI02-O4 Requirements and proposed solutions meet

business case objectives (value expected and likely costs).

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process are
identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to meet
plans.

PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
d)       Responsibilities and authorities for performing the
process are defined, assigned and communicated.
e)       Resources and information necessary for performing
the process are identified, made available, allocated and
used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication and
also clear assignment of responsibility.
a)       Requirements for the work products of the process
are defined.
b)       Requirements for documentation and control of the
work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to meet
requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate tailoring
guidelines, is defined that describes the fundamental
elements that must be incorporated into a defined
process.
b)       The sequence and interaction of the standard process
with other processes is determined.
c)         Required competencies and roles for performing a
process are identified as part of the standard process.
d)       Required infrastructure and work environment for
performing a process are identified as part of the
standard process.
e)       Suitable methods for monitoring the effectiveness
and suitability of the process are determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard process.
b)       Required roles, responsibilities and authorities for
performing the defined process are assigned and
communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education, training,
and experience.
d)       Required resources and information necessary for
performing the defined process are made available,
allocated and used.
e)       Required infrastructure and work environment for
performing the defined process are made available,
managed and maintained.

Level 4 PA 4.1 Process Measurement - A As a result of full achievement of this attribute:
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
f)        Appropriate data are collected and analysed as a
basis for understanding the behaviour of, and to
demonstrate the suitability and effectiveness of the
process, and to evaluate where continuous
improvement of the process can be made.
a)       Process information needs in support of relevant
defined business goals are established.
b)       Process measurement objectives are derived from
process information needs.
c)        Quantitative objectives for process performance in
support of relevant business goals are established.
d)       Measures and frequency of measurement are
identified and defined in line with process measurement
objectives and quantitative objectives for process
performance.
e)       Results of measurement are collected, analysed and
reported in order to monitor the extent to which the
quantitative objectives for process performance are met.
f) Measurement results are used to characterise process
performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined and
applied where applicable.
b)    Control limits of variation are established for normal
process performance.
c)   Measurement data are analysed for special causes of
variation.
d)   Corrective actions are taken to address special causes
of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
As a result of full achievement of this attribute:
a) Pprocess improvement objectives for the process are
defined that support the relevant business goals.
b)  Appropriate data are analysed to identify common
causes of variations in process performance.
c)   Appropriate data are analysed to identify opportunities
for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to achieve
the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed against the
objectives of the defined process and standard process.
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
b) Implementation of all agreed changes is managed to
ensure that any disruption to the process performance is
understood and acted upon.

c)   Based on actual performance, effectiveness of process change

is evaluated against the defined product requirements and
process objectives to determine whether results are due to
common or special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

e of IT infrastructure, resources and capabilities in response to business needs.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

BAI03 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

BAI03 Identify and Build Solutions

Purpose
Satisfy the business requirement of ensuring minimal business impact in the event of an IT se

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating for th
Performed achieves its process purpose.

BAI03-O1 The solution design, including relevant

components, meets enterprise needs, aligns with
standards and addresses all identified risks.

BAI03-O2 The solution conforms to the design, is in

accordance with organisational standards, and has
appropriate control, security and auditability.

BAI03-O3 The solution is of acceptable quality and has

been successfully tested.

BAI03-O4 Approved changes to requirements are

correctly incorporated into the solution.

BAI03-O5 Maintenance activities successfully address

business and technological needs.

Level 2 Managed PA 2.1 Performance Management - As a result of full achievement of this attribute:
A measure of the extent to which
the performance of the process is
managed.
Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
a)       Objectives for the performance of the process
are identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to
meet plans.
d)       Responsibilities and authorities for performing
the process are defined, assigned and
communicated.
e)       Resources and information necessary for
performing the process are identified, made
available, allocated and used.
f)        Interfaces between the involved parties
are managed to ensure both effective
communication and also clear assignment of
responsibility.
a)       Requirements for the work products of the
process are defined.
b)       Requirements for documentation and control
of the work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance
with planned arrangements and adjusted as
necessary to meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate
tailoring guidelines, is defined that describes the
fundamental elements that must be incorporated
into a defined process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for
performing a process are identified as part of the
standard process.
d)       Required infrastructure and work
environment for performing a process are
identified as part of the standard process.
e)       Suitable methods for monitoring the
effectiveness and suitability of the process are
determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard
process.
b)       Required roles, responsibilities and
authorities for performing the defined process
are assigned and communicated.

Level 4 PA 4.1 Process Measurement - A
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified As a result of full achievement of this attribute:
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
c)        Personnel performing the defined process are
competent on the basis of appropriate education,
training, and experience.
d)       Required resources and information
necessary for performing the defined process
are made available, allocated and used.
e)       Required infrastructure and work
environment for performing the defined process
are made available, managed and maintained.
f)        Appropriate data are collected and
analysed as a basis for understanding the
behaviour of, and to demonstrate the suitability
and effectiveness of the process, and to
evaluate where continuous improvement of the
process can be made.
As a result of full achievement of this attribute:
a)       Process information needs in support of
relevant defined business goals are established.
b)       Process measurement objectives are derived
from process information needs.
c)        Quantitative objectives for process
performance in support of relevant business goals
are established.
d)       Measures and frequency of measurement are
identified and defined in line with process
measurement objectives and quantitative
objectives for process performance.
e)       Results of measurement are collected,
analysed and reported in order to monitor the
extent to which the quantitative objectives for
process performance are met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined
and applied where applicable.
b)    Control limits of variation are established for
normal process performance.
c)   Measurement data are analysed for special
causes of variation.
d)   Corrective actions are taken to address special
causes of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
a) Pprocess improvement objectives for the
process are defined that support the relevant
business goals.
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
b)  Appropriate data are analysed to identify
common causes of variations in process
performance.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to
achieve the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed
against the objectives of the defined process and
standard process.
b) Implementation of all agreed changes is
managed to ensure that any disruption to the
process performance is understood and acted upon.
c)   Based on actual performance, effectiveness of process
change is evaluated against the defined product
requirements and process objectives to determine
whether results are due to common or special
causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

siness impact in the event of an IT service interruption.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

BAI04 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

BAI04 Manage Availability & Capacity

Purpose Satisfy the business requirement of maintaining the confidentiality, integrity and availability o
minimising the impact of security vulnerabilities.

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating for
Performed achieves its process purpose.

BAI04-O1 The availability plan anticipates the business

expectation of critical capacity requirements.

BAI04-O2 Capacity, performance and availability meet

requirements.

BAI04-O3 Availability, performance and capacity issues

are identified and routinely resolved.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process
are identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to meet
plans.
d)       Responsibilities and authorities for performing
the process are defined, assigned and communicated.

PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
e)       Resources and information necessary for
performing the process are identified, made available,
allocated and used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication
and also clear assignment of responsibility.
a)       Requirements for the work products of the
process are defined.
b)       Requirements for documentation and control of
the work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to
meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate
tailoring guidelines, is defined that describes the
fundamental elements that must be incorporated into
a defined process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for
performing a process are identified as part of the
standard process.
d)       Required infrastructure and work
environment for performing a process are
identified as part of the standard process.
e)       Suitable methods for monitoring the
effectiveness and suitability of the process are
determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard
process.
b)       Required roles, responsibilities and authorities
for performing the defined process are assigned
and communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education,
training, and experience.
d)       Required resources and information necessary
for performing the defined process are made
available, allocated and used.
e)       Required infrastructure and work environment
for performing the defined process are made
available, managed and maintained.

Level 4 PA 4.1 Process Measurement - A
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified As a result of full achievement of this attribute:
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
f)        Appropriate data are collected and analysed
as a basis for understanding the behaviour of, and
to demonstrate the suitability and effectiveness of
the process, and to evaluate where continuous
improvement of the process can be made.
As a result of full achievement of this attribute:
a)       Process information needs in support of relevant
defined business goals are established.
b)       Process measurement objectives are derived
from process information needs.
c)        Quantitative objectives for process performance
in support of relevant business goals are established.
d)       Measures and frequency of measurement are
identified and defined in line with process
measurement objectives and quantitative objectives
for process performance.
e)       Results of measurement are collected, analysed
and reported in order to monitor the extent to which
the quantitative objectives for process performance
are met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined
and applied where applicable.
b)    Control limits of variation are established for
normal process performance.
c)   Measurement data are analysed for special causes
of variation.
d)   Corrective actions are taken to address special
causes of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
a) Pprocess improvement objectives for the process
are defined that support the relevant business goals.
b)  Appropriate data are analysed to identify common
causes of variations in process performance.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to
achieve the process improvement objectives.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed against
the objectives of the defined process and standard
process.
b) Implementation of all agreed changes is managed
to ensure that any disruption to the process
performance is understood and acted upon.
c)   Based on actual performance, effectiveness of process
change is evaluated against the defined product
requirements and process objectives to determine
whether results are due to common or special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

entiality, integrity and availability of information and the processing infrastructure aligned to business needs and

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

BAI05 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

BAI05 Enable Organisational Change

Purpose
Satisfy the business requirement of ensuring transparency and understanding of IT costs and

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating for th
Performed achieves its process purpose.

BAI05-O1 Stakeholder desire for the change has been

understood.

BAI05-O2 Implementation team is competent and able

to drive the change.

BAI05-O3 Desired change is understood and accepted

by stakeholders.

BAI05-O4 Role players are empowered to deliver the

change.

BAI05-O5 Role players are enabled to operate, use and

maintain the change.

BAI05-O6 The change is embedded and sustained.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process
are identified.
b)       Performance of the process is planned and
monitored.
 the performance of the process is
managed.
PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
c)        Performance of the process is adjusted to
meet plans.
d)       Responsibilities and authorities for performing
the process are defined, assigned and
communicated.
e)       Resources and information necessary for
performing the process are identified, made
available, allocated and used.
f)        Interfaces between the involved parties
are managed to ensure both effective
communication and also clear assignment of
responsibility.
a)       Requirements for the work products of the
process are defined.
b)       Requirements for documentation and control
of the work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance
with planned arrangements and adjusted as
necessary to meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate
tailoring guidelines, is defined that describes the
fundamental elements that must be incorporated
into a defined process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for
performing a process are identified as part of the
standard process.
d)       Required infrastructure and work
environment for performing a process are
identified as part of the standard process.
e)       Suitable methods for monitoring the
effectiveness and suitability of the process are
determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard
process.
b)       Required roles, responsibilities and
authorities for performing the defined process
are assigned and communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education,
training, and experience.

Level 4 PA 4.1 Process Measurement - A
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified As a result of full achievement of this attribute:
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
d)       Required resources and information
necessary for performing the defined process
are made available, allocated and used.
e)       Required infrastructure and work
environment for performing the defined process
are made available, managed and maintained.
f)        Appropriate data are collected and
analysed as a basis for understanding the
behaviour of, and to demonstrate the suitability
and effectiveness of the process, and to
evaluate where continuous improvement of the
process can be made.
As a result of full achievement of this attribute:
a)       Process information needs in support of
relevant defined business goals are established.
b)       Process measurement objectives are derived
from process information needs.
c)        Quantitative objectives for process
performance in support of relevant business goals
are established.
d)       Measures and frequency of measurement are
identified and defined in line with process
measurement objectives and quantitative
objectives for process performance.
e)       Results of measurement are collected,
analysed and reported in order to monitor the
extent to which the quantitative objectives for
process performance are met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined
and applied where applicable.
b)    Control limits of variation are established for
normal process performance.
c)   Measurement data are analysed for special
causes of variation.
d)   Corrective actions are taken to address special
causes of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
a) Pprocess improvement objectives for the
process are defined that support the relevant
business goals.
b)  Appropriate data are analysed to identify
common causes of variations in process
performance.
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to
achieve the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed
against the objectives of the defined process and
standard process.
b) Implementation of all agreed changes is
managed to ensure that any disruption to the
process performance is understood and acted upon.
c)   Based on actual performance, effectiveness of process
change is evaluated against the defined product
requirements and process objectives to determine
whether results are due to common or special
causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

cy and understanding of IT costs and improving cost-efficiency through well-informed use of IT services.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

BAI06 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

BAI06 Manage Changes

Purpose
Satisfy the business requirement of effectively and efficiently using applications and technolo

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating for the p
Performed achieves its process purpose.

BAI06-O1 Authorised changes are made in a timely

manner and with minimal errors.

BAI06-O2 Impact assessments reveal the effect of

the change on all affected components.

BAI06-O3 All emergency changes are reviewed and

authorised after the change.

BAI06-O4 Key stakeholders are kept informed of all

aspects of the change.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the
process are identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to
meet plans.

PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
d)       Responsibilities and authorities for
performing the process are defined, assigned and
communicated.
e)       Resources and information necessary for
performing the process are identified, made
available, allocated and used.
f)        Interfaces between the involved parties
are managed to ensure both effective
communication and also clear assignment of
responsibility.
a)       Requirements for the work products of the
process are defined.
b)       Requirements for documentation and
control of the work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance
with planned arrangements and adjusted as
necessary to meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate
tailoring guidelines, is defined that describes the
fundamental elements that must be incorporated
into a defined process.
b)       The sequence and interaction of the
standard process with other processes is
determined.
c)         Required competencies and roles for
performing a process are identified as part of the
standard process.
d)       Required infrastructure and work
environment for performing a process are
identified as part of the standard process.
e)       Suitable methods for monitoring the
effectiveness and suitability of the process are
determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon
an appropriately selected and/or tailored
standard process.
b)       Required roles, responsibilities and
authorities for performing the defined process
are assigned and communicated.
c)        Personnel performing the defined process
are competent on the basis of appropriate
education, training, and experience.

Level 4 PA 4.1 Process Measurement - A
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified As a result of full achievement of this attribute:
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
d)       Required resources and information
necessary for performing the defined process
are made available, allocated and used.
e)       Required infrastructure and work
environment for performing the defined
process are made available, managed and
maintained.
f)        Appropriate data are collected and
analysed as a basis for understanding the
behaviour of, and to demonstrate the
suitability and effectiveness of the process,
and to evaluate where continuous
improvement of the process can be made.
As a result of full achievement of this attribute:
a)       Process information needs in support of
relevant defined business goals are established.
b)       Process measurement objectives are
derived from process information needs.
c)        Quantitative objectives for process
performance in support of relevant business
goals are established.
d)       Measures and frequency of measurement
are identified and defined in line with process
measurement objectives and quantitative
objectives for process performance.
e)       Results of measurement are collected,
analysed and reported in order to monitor the
extent to which the quantitative objectives for
process performance are met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are
determined and applied where applicable.
b)    Control limits of variation are established for
normal process performance.
c)   Measurement data are analysed for special
causes of variation.
d)   Corrective actions are taken to address special
causes of variation.
e)    Control limits are re-established (as
necessary) following corrective action.
a) Pprocess improvement objectives for the
process are defined that support the relevant
business goals.
b)  Appropriate data are analysed to identify
common causes of variations in process
performance.
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to
achieve the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed
against the objectives of the defined process and
standard process.
b) Implementation of all agreed changes is
managed to ensure that any disruption to the
process performance is understood and acted
upon.
c)   Based on actual performance, effectiveness of
process change is evaluated against the defined
product requirements and process objectives to
determine whether results are due to common or
special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

ciently using applications and technology solutions and ensuring user compliance with policies and procedures.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

BAI07 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

BAI07 Accept and Transition Changes

Purpose
Satisfy the business requirement of enabling effective use of IT systems by ensuring resolutio

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any achievement
Incomplete fails to achieve its process purpose. of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating
Performed achieves its process purpose.

BAI07-O1 Acceptance testing meets stakeholders' approval

and takes into account all aspects of the implementation and
conversion plans.

BAI07-O2 Releases are ready for promotion into production

with stakeholder readiness and support.

BAI07-O3 Releases are promoted successfully, are stable and

meet expectations.

BAI07-O4 Lessons learned contribute to future releases.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process are
identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to meet
plans.

PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
d)       Responsibilities and authorities for performing the
process are defined, assigned and communicated.
e)       Resources and information necessary for performing
the process are identified, made available, allocated and
used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication and
also clear assignment of responsibility.
a)       Requirements for the work products of the process
are defined.
b)       Requirements for documentation and control of the
work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to meet
requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate tailoring
guidelines, is defined that describes the fundamental
elements that must be incorporated into a defined
process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for performing a
process are identified as part of the standard process.
d)       Required infrastructure and work environment for
performing a process are identified as part of the
standard process.
e)       Suitable methods for monitoring the effectiveness
and suitability of the process are determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard process.
b)       Required roles, responsibilities and authorities for
performing the defined process are assigned and
communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education, training,
and experience.
d)       Required resources and information necessary for
performing the defined process are made available,
allocated and used.
e)       Required infrastructure and work environment for
performing the defined process are made available,
managed and maintained.

Level 4 PA 4.1 Process Measurement - A As a result of full achievement of this attribute:
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
f)        Appropriate data are collected and analysed as a
basis for understanding the behaviour of, and to
demonstrate the suitability and effectiveness of the
process, and to evaluate where continuous
improvement of the process can be made.
a)       Process information needs in support of relevant
defined business goals are established.
b)       Process measurement objectives are derived from
process information needs.
c)        Quantitative objectives for process performance in
support of relevant business goals are established.
d)       Measures and frequency of measurement are
identified and defined in line with process measurement
objectives and quantitative objectives for process
performance.
e)       Results of measurement are collected, analysed and
reported in order to monitor the extent to which the
quantitative objectives for process performance are met.
f) Measurement results are used to characterise process
performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined and
applied where applicable.
b)    Control limits of variation are established for normal
process performance.
c)   Measurement data are analysed for special causes of
variation.
d)   Corrective actions are taken to address special causes
of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
As a result of full achievement of this attribute:
a) Pprocess improvement objectives for the process are
defined that support the relevant business goals.
b)  Appropriate data are analysed to identify common
causes of variations in process performance.
c)   Appropriate data are analysed to identify opportunities
for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to achieve
the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed against the
objectives of the defined process and standard process.
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
b) Implementation of all agreed changes is managed to
ensure that any disruption to the process performance is
understood and acted upon.

c)   Based on actual performance, effectiveness of process change

is evaluated against the defined product requirements and
process objectives to determine whether results are due
to common or special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

systems by ensuring resolution and analysis of end-user queries, questions and incidents

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

BAI08 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

BAI08 Manage Knowledge

Purpose
Satisfy the business requirement of optimising the IT infrastructure, resources and capabilitie

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating for the
Performed achieves its process purpose.

BAI08-O1 Sources of information are identified and

classified.

BAI08-O2 Knowledge is used and shared.

BAI08-O3 Knowledge sharing is embedded in the

culture of the enterprise.

BAI08-O4 Knowledge is updated and improved to

support requirements.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process
are identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to
meet plans.

PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
d)       Responsibilities and authorities for
performing the process are defined, assigned and
communicated.
e)       Resources and information necessary for
performing the process are identified, made
available, allocated and used.
f)        Interfaces between the involved parties
are managed to ensure both effective
communication and also clear assignment of
responsibility.
a)       Requirements for the work products of the
process are defined.
b)       Requirements for documentation and control
of the work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance
with planned arrangements and adjusted as
necessary to meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate
tailoring guidelines, is defined that describes the
fundamental elements that must be incorporated
into a defined process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for
performing a process are identified as part of the
standard process.
d)       Required infrastructure and work
environment for performing a process are
identified as part of the standard process.
e)       Suitable methods for monitoring the
effectiveness and suitability of the process are
determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard
process.
b)       Required roles, responsibilities and
authorities for performing the defined process
are assigned and communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education,
training, and experience.

Level 4 PA 4.1 Process Measurement - A
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified As a result of full achievement of this attribute:
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
d)       Required resources and information
necessary for performing the defined process
are made available, allocated and used.
e)       Required infrastructure and work
environment for performing the defined process
are made available, managed and maintained.
f)        Appropriate data are collected and
analysed as a basis for understanding the
behaviour of, and to demonstrate the suitability
and effectiveness of the process, and to
evaluate where continuous improvement of the
process can be made.
As a result of full achievement of this attribute:
a)       Process information needs in support of
relevant defined business goals are established.
b)       Process measurement objectives are derived
from process information needs.
c)        Quantitative objectives for process
performance in support of relevant business goals
are established.
d)       Measures and frequency of measurement are
identified and defined in line with process
measurement objectives and quantitative
objectives for process performance.
e)       Results of measurement are collected,
analysed and reported in order to monitor the
extent to which the quantitative objectives for
process performance are met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined
and applied where applicable.
b)    Control limits of variation are established for
normal process performance.
c)   Measurement data are analysed for special
causes of variation.
d)   Corrective actions are taken to address special
causes of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
a) Pprocess improvement objectives for the
process are defined that support the relevant
business goals.
b)  Appropriate data are analysed to identify
common causes of variations in process
performance.
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to
achieve the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed
against the objectives of the defined process and
standard process.
b) Implementation of all agreed changes is
managed to ensure that any disruption to the
process performance is understood and acted
upon.
c)   Based on actual performance, effectiveness of process
change is evaluated against the defined product
requirements and process objectives to determine
whether results are due to common or special
causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

rastructure, resources and capabilities; and accounting for IT assets.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

BAI09 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

BAI09 Manage Assets

Purpose
Satisfy the business requirement of ensuring end users’ satisfaction with service offerings and

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating fo
Performed achieves its process purpose.

BAI09-O1 Licences are compliant and aligned with

business need.

- BAI09-O1A There are an optimum number of licences to

ensure compliance and meet business needs

BAI09-O2 Assets are maintained at optimal levels.

- BAI09-O2A Up-to-date and accurate information on all IT

assets is maintained in a central repository

- BAI09-O2B Assets are maintained to provdie the necessary

levels of reliability and availability to support business
needs

- BAI09-O2C All assets are tracked and managed through

their full lifecycle: from procurement to disposal

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
-BAI09-O2D The estate is continually reviewed and assessd
to ensure assets provide optimal value while meeting
business needs.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process are
identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to meet
plans.
d)       Responsibilities and authorities for performing the
process are defined, assigned and communicated.
e)       Resources and information necessary for
performing the process are identified, made available,
allocated and used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication
and also clear assignment of responsibility.
a)       Requirements for the work products of the process
are defined.
b)       Requirements for documentation and control of
the work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to
meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate tailoring
guidelines, is defined that describes the fundamental
elements that must be incorporated into a defined
process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for performing a
process are identified as part of the standard process.
d)       Required infrastructure and work environment
for performing a process are identified as part of
the standard process.
e)       Suitable methods for monitoring the effectiveness
and suitability of the process are determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard process.
 PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
Level 4 PA 4.1 Process Measurement - A As a result of full achievement of this attribute:
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
b)       Required roles, responsibilities and authorities
for performing the defined process are assigned and
communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education,
training, and experience.
d)       Required resources and information necessary
for performing the defined process are made
available, allocated and used.
e)       Required infrastructure and work environment
for performing the defined process are made
available, managed and maintained.
f)        Appropriate data are collected and analysed as
a basis for understanding the behaviour of, and to
demonstrate the suitability and effectiveness of the
process, and to evaluate where continuous
improvement of the process can be made.
a)       Process information needs in support of relevant
defined business goals are established.
b)       Process measurement objectives are derived from
process information needs.
c)        Quantitative objectives for process performance in
support of relevant business goals are established.
d)       Measures and frequency of measurement are
identified and defined in line with process
measurement objectives and quantitative objectives for
process performance.
e)       Results of measurement are collected, analysed
and reported in order to monitor the extent to which
the quantitative objectives for process performance are
met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined and
applied where applicable.
b)    Control limits of variation are established for normal
process performance.
c)   Measurement data are analysed for special causes of
variation.
d)   Corrective actions are taken to address special
causes of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
As a result of full achievement of this attribute:
a) Pprocess improvement objectives for the process are
defined that support the relevant business goals.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
b)  Appropriate data are analysed to identify common
causes of variations in process performance.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to achieve
the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed against
the objectives of the defined process and standard
process.
b) Implementation of all agreed changes is managed to
ensure that any disruption to the process performance
is understood and acted upon.
c)   Based on actual performance, effectiveness of process
change is evaluated against the defined product
requirements and process objectives to determine
whether results are due to common or special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

faction with service offerings and service levels by reducing solution and service delivery defects and rework.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

BAI10 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

BAI10 Manage Configuration

Purpose
Satisfy the business requirement of optimising the use of information and ensuring that infor

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating fo
Performed achieves its process purpose.

BAI10-O1 Configuration repository is accurate, complete

and up to date.

-BAI10-O1A A detailed logical model of the IT infrastructure

is managed and correlates IT services and IT components

-BAI10-O1B A centralsied database exists for all

configuration items

-BAI10-O1C Configuration items are identified, classified,

labelled, assigned, described and linked as appropriate

-BAI10-O1D Modifications to configuration items are

controlled

-BAI10-O1E Configuration data is verified and audited

-BAI10-O1F Accurate configuration information is provided

to all relevant people to be able to make decisions at the
right time.
Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process are
identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to meet
plans.
d)       Responsibilities and authorities for performing the
process are defined, assigned and communicated.
e)       Resources and information necessary for
performing the process are identified, made available,
allocated and used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication
and also clear assignment of responsibility.
a)       Requirements for the work products of the process
are defined.
b)       Requirements for documentation and control of
the work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to
meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate tailoring
guidelines, is defined that describes the fundamental
elements that must be incorporated into a defined
process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for performing a
process are identified as part of the standard process.
d)       Required infrastructure and work environment
for performing a process are identified as part of
the standard process.
e)       Suitable methods for monitoring the effectiveness
and suitability of the process are determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard process.
b)       Required roles, responsibilities and authorities
for performing the defined process are assigned and
communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education,
training, and experience.

Level 4 PA 4.1 Process Measurement - A As a result of full achievement of this attribute:
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
d)       Required resources and information necessary
for performing the defined process are made
available, allocated and used.
e)       Required infrastructure and work environment
for performing the defined process are made
available, managed and maintained.
f)        Appropriate data are collected and analysed as
a basis for understanding the behaviour of, and to
demonstrate the suitability and effectiveness of the
process, and to evaluate where continuous
improvement of the process can be made.
a)       Process information needs in support of relevant
defined business goals are established.
b)       Process measurement objectives are derived from
process information needs.
c)        Quantitative objectives for process performance in
support of relevant business goals are established.
d)       Measures and frequency of measurement are
identified and defined in line with process
measurement objectives and quantitative objectives for
process performance.
e)       Results of measurement are collected, analysed
and reported in order to monitor the extent to which
the quantitative objectives for process performance are
met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined and
applied where applicable.
b)    Control limits of variation are established for normal
process performance.
c)   Measurement data are analysed for special causes of
variation.
d)   Corrective actions are taken to address special
causes of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
As a result of full achievement of this attribute:
a) Pprocess improvement objectives for the process are
defined that support the relevant business goals.
b)  Appropriate data are analysed to identify common
causes of variations in process performance.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.

PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
e)   An implementation strategy is established to achieve
the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed against
the objectives of the defined process and standard
process.
b) Implementation of all agreed changes is managed to
ensure that any disruption to the process performance
is understood and acted upon.
c)   Based on actual performance, effectiveness of process
change is evaluated against the defined product
requirements and process objectives to determine
whether results are due to common or special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

ormation and ensuring that information is available as required.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

DSS01 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

DSS01 Manage Operations

Purpose
Satisfy the business requirement of managing the physical environment to protect computer

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any achievement
Incomplete fails to achieve its process purpose. of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating
Performed achieves its process purpose.

DSS01-O1 Operational activities are performed as required

and scheduled.

-DSS01-O1A Operational activities are performed reliably and

consistently against a schedule

-DSS01-O1B Data is handled and managed in accordance with

information security polcies

DSS01-O2 Operations are monitored, measured, reported

and remediated.

-DSS01-O2A Event information and history is captured for

significant assets

-DSS01-O2B The appropriate control actions for events are

determined and are communicated to, and trigger, the
appropriate functions.

-DSS01-O2C Facilities are protected against environemtnetal

factors

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
-DSS01-O2D Facilties are in complaince with relevant health &
safety laws, regulations, guidleines and vendor specifications.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process are
identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to meet
plans.
d)       Responsibilities and authorities for performing the
process are defined, assigned and communicated.
e)       Resources and information necessary for performing
the process are identified, made available, allocated and
used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication and
also clear assignment of responsibility.
a)       Requirements for the work products of the process
are defined.
b)       Requirements for documentation and control of the
work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to meet
requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate tailoring
guidelines, is defined that describes the fundamental
elements that must be incorporated into a defined
process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for performing a
process are identified as part of the standard process.
d)       Required infrastructure and work environment for
performing a process are identified as part of the
standard process.
e)       Suitable methods for monitoring the effectiveness
and suitability of the process are determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard process.
b)       Required roles, responsibilities and authorities for
performing the defined process are assigned and
communicated.

Level 4 PA 4.1 Process Measurement - A As a result of full achievement of this attribute:
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
c)        Personnel performing the defined process are
competent on the basis of appropriate education, training,
and experience.
d)       Required resources and information necessary for
performing the defined process are made available,
allocated and used.
e)       Required infrastructure and work environment for
performing the defined process are made available,
managed and maintained.
f)        Appropriate data are collected and analysed as a
basis for understanding the behaviour of, and to
demonstrate the suitability and effectiveness of the
process, and to evaluate where continuous
improvement of the process can be made.
a)       Process information needs in support of relevant
defined business goals are established.
b)       Process measurement objectives are derived from
process information needs.
c)        Quantitative objectives for process performance in
support of relevant business goals are established.
d)       Measures and frequency of measurement are
identified and defined in line with process measurement
objectives and quantitative objectives for process
performance.
e)       Results of measurement are collected, analysed and
reported in order to monitor the extent to which the
quantitative objectives for process performance are met.
f) Measurement results are used to characterise process
performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined and
applied where applicable.
l
c)   Measurement data are analysed for special causes of
variation.
d)   Corrective actions are taken to address special causes
of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
As a result of full achievement of this attribute:
a) Pprocess improvement objectives for the process are
defined that support the relevant business goals.
b)  Appropriate data are analysed to identify common
causes of variations in process performance.
c)   Appropriate data are analysed to identify opportunities
for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.

PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
e)   An implementation strategy is established to achieve
the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed against the
objectives of the defined process and standard process.
b) Implementation of all agreed changes is managed to
ensure that any disruption to the process performance is
understood and acted upon.
c)   Based on actual performance, effectiveness of process change
is evaluated against the defined product requirements and
process objectives to determine whether results are due
to common or special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

ronment to protect computer accesses and business data to minimise the risk of business disruption.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

DSS02 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

DSS02 Manage Service request and Incidents

Purpose Satisfy the business requirement of maintaining the management of operations to ensure tha
recover from errors and failures.

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating fo
Performed achieves its process purpose.

DSS02-O1 IT-related services are available for use.

DSS02-O2 Incidents are resolved according to agreed-on

service levels.

DSS02-O3 Service requests are dealt with according to

agreed-on service levels and to the satisfaction of users.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process are
identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to meet
plans.
d)       Responsibilities and authorities for performing the
process are defined, assigned and communicated.

PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
e)       Resources and information necessary for
performing the process are identified, made available,
allocated and used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication
and also clear assignment of responsibility.
a)       Requirements for the work products of the process
are defined.
b)       Requirements for documentation and control of
the work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to
meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate tailoring
guidelines, is defined that describes the fundamental
elements that must be incorporated into a defined
process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for performing
a process are identified as part of the standard process.
d)       Required infrastructure and work environment
for performing a process are identified as part of
the standard process.
e)       Suitable methods for monitoring the effectiveness
and suitability of the process are determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard process.
b)       Required roles, responsibilities and authorities
for performing the defined process are assigned and
communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education,
training, and experience.
d)       Required resources and information necessary
for performing the defined process are made
available, allocated and used.
e)       Required infrastructure and work environment
for performing the defined process are made
available, managed and maintained.

Level 4 PA 4.1 Process Measurement - A As a result of full achievement of this attribute:
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
f)        Appropriate data are collected and analysed as
a basis for understanding the behaviour of, and to
demonstrate the suitability and effectiveness of the
process, and to evaluate where continuous
improvement of the process can be made.
a)       Process information needs in support of relevant
defined business goals are established.
b)       Process measurement objectives are derived from
process information needs.
c)        Quantitative objectives for process performance in
support of relevant business goals are established.
d)       Measures and frequency of measurement are
identified and defined in line with process
measurement objectives and quantitative objectives for
process performance.
e)       Results of measurement are collected, analysed
and reported in order to monitor the extent to which
the quantitative objectives for process performance are
met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined and
applied where applicable.
b)    Control limits of variation are established for normal
process performance.
c)   Measurement data are analysed for special causes of
variation.
d)   Corrective actions are taken to address special
causes of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
As a result of full achievement of this attribute:
a) Pprocess improvement objectives for the process are
defined that support the relevant business goals.
b)  Appropriate data are analysed to identify common
causes of variations in process performance.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to achieve
the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed against
the objectives of the defined process and standard
process.
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
b) Implementation of all agreed changes is managed to
ensure that any disruption to the process performance
is understood and acted upon.

c)   Based on actual performance, effectiveness of process
change is evaluated against the defined product
requirements and process objectives to determine
whether results are due to common or special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

ment of operations to ensure that operational service levels can be achieved and IT infrastructure can resist and

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

DSS03 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

DSS03 Manage Problems

Purpose
Satisfy the business requirement of transparency and understanding of IT cost, benefits, strat

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating f
Performed achieves its process purpose.

DSS03-O1 IT-related problems are resolved so that they do

not reoccur.

- DSS03-O1A A process is in place to be able to identify &

classsify problems

- DSS03-O1B A proactive problem management system

allows for the resolution & closing of problems

- DSS03-O1C Known Errors are effetively investigated &

diagnosed

- DSS03-O1D Problems and resulting incidents are reduced

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process are
identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to meet
plans.

PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
d)       Responsibilities and authorities for performing the
process are defined, assigned and communicated.
e)       Resources and information necessary for
performing the process are identified, made available,
allocated and used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication
and also clear assignment of responsibility.
a)       Requirements for the work products of the process
are defined.
b)       Requirements for documentation and control of
the work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to
meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate tailoring
guidelines, is defined that describes the fundamental
elements that must be incorporated into a defined
process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for performing a
process are identified as part of the standard process.
d)       Required infrastructure and work environment
for performing a process are identified as part of
the standard process.
e)       Suitable methods for monitoring the effectiveness
and suitability of the process are determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard process.
b)       Required roles, responsibilities and authorities
for performing the defined process are assigned and
communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education,
training, and experience.
d)       Required resources and information necessary
for performing the defined process are made
available, allocated and used.
e)       Required infrastructure and work environment
for performing the defined process are made
available, managed and maintained.

Level 4 PA 4.1 Process Measurement - A As a result of full achievement of this attribute:
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
f)        Appropriate data are collected and analysed as
a basis for understanding the behaviour of, and to
demonstrate the suitability and effectiveness of the
process, and to evaluate where continuous
improvement of the process can be made.
a)       Process information needs in support of relevant
defined business goals are established.
b)       Process measurement objectives are derived from
process information needs.
c)        Quantitative objectives for process performance in
support of relevant business goals are established.
d)       Measures and frequency of measurement are
identified and defined in line with process measurement
objectives and quantitative objectives for process
performance.
e)       Results of measurement are collected, analysed
and reported in order to monitor the extent to which the
quantitative objectives for process performance are met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined and
applied where applicable.
b)    Control limits of variation are established for normal
process performance.
c)   Measurement data are analysed for special causes of
variation.
d)   Corrective actions are taken to address special causes
of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
As a result of full achievement of this attribute:
a) Pprocess improvement objectives for the process are
defined that support the relevant business goals.
b)  Appropriate data are analysed to identify common
causes of variations in process performance.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to achieve
the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed against
the objectives of the defined process and standard
process.
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
b) Implementation of all agreed changes is managed to
ensure that any disruption to the process performance is
understood and acted upon.

c)   Based on actual performance, effectiveness of process
change is evaluated against the defined product
requirements and process objectives to determine
whether results are due to common or special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

anding of IT cost, benefits, strategy, policies and service levels in accordance with governance requirements.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

DSS04 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

DSS04 Manage Continuity

Purpose
Satisfy the business requirement of protecting the achievement of IT objectives while comply

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating for th
Performed achieves its process purpose.

DSS04-O1 Business critical information is available to the

business in line with minimum required service levels.

DSS04-O2 Sufficient resilience is in place for critical

services.
DSS04-O3 Service continuity tests have verified the
effectiveness of the plan.

DSS04-O4 An up to date continuity plan reflects current

business requirements.

DSS04-O5 Internal and external parties have been

trained in the Continuity Plan.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process
are identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to meet
plans.

PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
d)       Responsibilities and authorities for performing
the process are defined, assigned and
communicated.
e)       Resources and information necessary for
performing the process are identified, made
available, allocated and used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication
and also clear assignment of responsibility.
a)       Requirements for the work products of the
process are defined.
b)       Requirements for documentation and control
of the work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to
meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate
tailoring guidelines, is defined that describes the
fundamental elements that must be incorporated
into a defined process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for
performing a process are identified as part of the
standard process.
d)       Required infrastructure and work
environment for performing a process are
identified as part of the standard process.
e)       Suitable methods for monitoring the
effectiveness and suitability of the process are
determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard
process.
b)       Required roles, responsibilities and
authorities for performing the defined process
are assigned and communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education,
training, and experience.
d)       Required resources and information
necessary for performing the defined process are
made available, allocated and used.

Level 4 PA 4.1 Process Measurement - A
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified As a result of full achievement of this attribute:
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
e)       Required infrastructure and work
environment for performing the defined process
are made available, managed and maintained.
f)        Appropriate data are collected and analysed
as a basis for understanding the behaviour of,
and to demonstrate the suitability and
effectiveness of the process, and to evaluate
where continuous improvement of the process can
be made.
As a result of full achievement of this attribute:
a)       Process information needs in support of
relevant defined business goals are established.
b)       Process measurement objectives are derived
from process information needs.
c)        Quantitative objectives for process
performance in support of relevant business goals
are established.
d)       Measures and frequency of measurement are
identified and defined in line with process
measurement objectives and quantitative objectives
for process performance.
e)       Results of measurement are collected, analysed
and reported in order to monitor the extent to which
the quantitative objectives for process performance
are met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined
and applied where applicable.
b)    Control limits of variation are established for
normal process performance.
c)   Measurement data are analysed for special causes
of variation.
d)   Corrective actions are taken to address special
causes of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
a) Pprocess improvement objectives for the process
are defined that support the relevant business goals.
b)  Appropriate data are analysed to identify
common causes of variations in process
performance.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.

PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
e)   An implementation strategy is established to
achieve the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed
against the objectives of the defined process and
standard process.
b) Implementation of all agreed changes is
managed to ensure that any disruption to the
process performance is understood and acted upon.
c)   Based on actual performance, effectiveness of process
change is evaluated against the defined product
requirements and process objectives to determine
whether results are due to common or special
causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

ement of IT objectives while complying with internal controls.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

DSS05 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

DSS05 Manage Security Services

Purpose
Satisfy the business requirement of ensuring compliance with laws, regulations and contractu

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any achievement
Incomplete fails to achieve its process purpose. of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating
Performed achieves its process purpose.

DSS05-O1 Networks and communications security meet

business needs.

DSS05-O2 Information processed on, stored on and

transmitted by endpoint devices is protected.

DSS05-O3 All users are uniquely identifiable and have access

rights in accordance with their business role.

DSS05-O4 Physical measures to protect information from

unauthorised access, damage and interference when being
processed, stored or transmitted have been implemented.

DSS05-O5 Electronic information is properly secured when

strored, transmitted or destroyed

Level 2 Managed PA 2.1 Performance Management - As a result of full achievement of this attribute:
A measure of the extent to which
the performance of the process is a)       Objectives for the performance of the process are
managed. identified.
Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to meet
plans.
d)       Responsibilities and authorities for performing the
process are defined, assigned and communicated.
e)       Resources and information necessary for performing
the process are identified, made available, allocated and
used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication and
also clear assignment of responsibility.
a)       Requirements for the work products of the process
are defined.
b)       Requirements for documentation and control of the
work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to meet
requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate tailoring
guidelines, is defined that describes the fundamental
elements that must be incorporated into a defined
process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for performing a
process are identified as part of the standard process.
d)       Required infrastructure and work environment for
performing a process are identified as part of the
standard process.
e)       Suitable methods for monitoring the effectiveness
and suitability of the process are determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard process.
b)       Required roles, responsibilities and authorities for
performing the defined process are assigned and
communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education, training,
and experience.
d)       Required resources and information necessary for
performing the defined process are made available,
allocated and used.

Level 4 PA 4.1 Process Measurement - A As a result of full achievement of this attribute:
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
e)       Required infrastructure and work environment for
performing the defined process are made available,
managed and maintained.
f)        Appropriate data are collected and analysed as a
basis for understanding the behaviour of, and to
demonstrate the suitability and effectiveness of the
process, and to evaluate where continuous
improvement of the process can be made.
a)       Process information needs in support of relevant
defined business goals are established.
b)       Process measurement objectives are derived from
process information needs.
c)        Quantitative objectives for process performance in
support of relevant business goals are established.
d)       Measures and frequency of measurement are
identified and defined in line with process measurement
objectives and quantitative objectives for process
performance.
e)       Results of measurement are collected, analysed and
reported in order to monitor the extent to which the
quantitative objectives for process performance are met.
f) Measurement results are used to characterise process
performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined and
applied where applicable.
b)    Control limits of variation are established for normal
process performance.
c)   Measurement data are analysed for special causes of
variation.
d)   Corrective actions are taken to address special causes
of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
As a result of full achievement of this attribute:
a) Pprocess improvement objectives for the process are
defined that support the relevant business goals.
b)  Appropriate data are analysed to identify common
causes of variations in process performance.
c)   Appropriate data are analysed to identify opportunities
for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to achieve
the process improvement objectives.
As a result of full achievement of this attribute:
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of a) Impact of all proposed changes is assessed against the
the process result in effective impact objectives of the defined process and standard process.
that achieves the relevant process
improvement objectives.
b) Implementation of all agreed changes is managed to
ensure that any disruption to the process performance is
understood and acted upon.

c)   Based on actual performance, effectiveness of process change

is evaluated against the defined product requirements and
process objectives to determine whether results are due
to common or special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

aws, regulations and contractual requirements.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1

DSS06 PA 1.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

DSS06 Manage Business Process Controls

Purpose
Satisfy the business requirement of integrating IT governance with enterprise governance an

Assess whether the following Criteria

outcomes are achieved.

Level 0 The process is not implemented, or At this level, there is little or no evidence of any achievement of
Incomplete fails to achieve its process purpose. the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved:
Performed achieves its process purpose.

DSS06-O1 Coverage and effectiveness of key controls to meet

business requirements for processing information are complete.

DSS06-O2 The inventory of roles, responsibilities and access

rights is aligned with authorised business needs.

DSS06-O3 Business transactions are retained completely and as

required in logs.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process are
identified.
b)       Performance of the process is planned and monitored.

c)        Performance of the process is adjusted to meet plans.

d)       Responsibilities and authorities for performing the

process are defined, assigned and communicated.

PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
e)       Resources and information necessary for performing
the process are identified, made available, allocated and
used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication and
also clear assignment of responsibility.
a)       Requirements for the work products of the process are
defined.
b)       Requirements for documentation and control of the
work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to meet
requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate tailoring
guidelines, is defined that describes the fundamental
elements that must be incorporated into a defined process.
b)       The sequence and interaction of the standard process
with other processes is determined.
c)         Required competencies and roles for performing a
process are identified as part of the standard process.
d)       Required infrastructure and work environment for
performing a process are identified as part of the
standard process.
e)       Suitable methods for monitoring the effectiveness and
suitability of the process are determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard process.
b)       Required roles, responsibilities and authorities for
performing the defined process are assigned and
communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education, training,
and experience.
d)       Required resources and information necessary for
performing the defined process are made available,
allocated and used.
e)       Required infrastructure and work environment for
performing the defined process are made available,
managed and maintained.

Level 4 PA 4.1 Process Measurement - A As a result of full achievement of this attribute:
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
f)        Appropriate data are collected and analysed as a
basis for understanding the behaviour of, and to
demonstrate the suitability and effectiveness of the
process, and to evaluate where continuous improvement
of the process can be made.
a)       Process information needs in support of relevant
defined business goals are established.
b)       Process measurement objectives are derived from
process information needs.
c)        Quantitative objectives for process performance in
support of relevant business goals are established.
d)       Measures and frequency of measurement are
identified and defined in line with process measurement
objectives and quantitative objectives for process
performance.
e)       Results of measurement are collected, analysed and
reported in order to monitor the extent to which the
quantitative objectives for process performance are met.
f) Measurement results are used to characterise process
performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined and
applied where applicable.
b)    Control limits of variation are established for normal
process performance.
c)   Measurement data are analysed for special causes of
variation.
d)   Corrective actions are taken to address special causes of
variation.
e)    Control limits are re-established (as necessary) following
corrective action.
As a result of full achievement of this attribute:
a) Pprocess improvement objectives for the process are
defined that support the relevant business goals.
b)  Appropriate data are analysed to identify common
causes of variations in process performance.
c)   Appropriate data are analysed to identify opportunities
for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to achieve the
process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed against the
objectives of the defined process and standard process.
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
b) Implementation of all agreed changes is managed to
ensure that any disruption to the process performance is
understood and acted upon.

c)   Based on actual performance, effectiveness of process change is

evaluated against the defined product requirements and
process objectives to determine whether results are due to
common or special causes.
 Level 2 Level 3 Level 4

PA 2.1 PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

governance with enterprise governance and complying with laws, regulations and contracts.

Criteria Are Partially Largely Fully

Comment
Met Y/N Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

MEA01 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

MEA01 Monitor and Evaluate Performance and Conformance

Purpose
Satisfy the business requirement of integrating IT governance with enterprise governance an

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating for the p
Performed achieves its process purpose.

MEA01-O1 Stakeholders approve the goals and

metrics.

MEA01-O2 Processes are measured against agreed-

upon goals and metrics.

MEA01-O3 The enterprise monitoring, assessing and

informing approach is effective and operational.

MEA01-O4 Goals and metrics are integrated within

enterprise monitoring systems.

MEA01-O5 Process reporting on performance and

conformance is useful and timely.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the
process are identified.
Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to
meet plans.
d)       Responsibilities and authorities for
performing the process are defined, assigned and
communicated.
e)       Resources and information necessary for
performing the process are identified, made
available, allocated and used.
f)        Interfaces between the involved parties
are managed to ensure both effective
communication and also clear assignment of
responsibility.
a)       Requirements for the work products of the
process are defined.
b)       Requirements for documentation and
control of the work products are defined.
c)         Work products are appropriately
identified, documented, and controlled.
d)       Work products are reviewed in accordance
with planned arrangements and adjusted as
necessary to meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate
tailoring guidelines, is defined that describes the
fundamental elements that must be
incorporated into a defined process.
b)       The sequence and interaction of the
standard process with other processes is
determined.
c)         Required competencies and roles for
performing a process are identified as part of the
standard process.
d)       Required infrastructure and work
environment for performing a process are
identified as part of the standard process.
e)       Suitable methods for monitoring the
effectiveness and suitability of the process are
determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon
an appropriately selected and/or tailored
standard process.
b)       Required roles, responsibilities and
authorities for performing the defined process
are assigned and communicated.

Level 4 PA 4.1 Process Measurement - A
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified As a result of full achievement of this attribute:
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
c)        Personnel performing the defined process
are competent on the basis of appropriate
education, training, and experience.
d)       Required resources and information
necessary for performing the defined process
are made available, allocated and used.
e)       Required infrastructure and work
environment for performing the defined
process are made available, managed and
maintained.
f)        Appropriate data are collected and
analysed as a basis for understanding the
behaviour of, and to demonstrate the
suitability and effectiveness of the process,
and to evaluate where continuous
improvement of the process can be made.
As a result of full achievement of this attribute:
a)       Process information needs in support of
relevant defined business goals are established.
b)       Process measurement objectives are
derived from process information needs.
c)        Quantitative objectives for process
performance in support of relevant business
goals are established.
d)       Measures and frequency of measurement
are identified and defined in line with process
measurement objectives and quantitative
objectives for process performance.
e)       Results of measurement are collected,
analysed and reported in order to monitor the
extent to which the quantitative objectives for
process performance are met.
f) Measurement results are used to
characterise process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are
determined and applied where applicable.
b)    Control limits of variation are established for
normal process performance.
c)   Measurement data are analysed for special
causes of variation.
d)   Corrective actions are taken to address
special causes of variation.
e)    Control limits are re-established (as
necessary) following corrective action.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
a) Pprocess improvement objectives for the
process are defined that support the relevant
business goals.
b)  Appropriate data are analysed to identify
common causes of variations in process
performance.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from
new technologies and process concepts are
identified.
e)   An implementation strategy is established to
achieve the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed
against the objectives of the defined process and
standard process.
b) Implementation of all agreed changes is
managed to ensure that any disruption to the
process performance is understood and acted
upon.
c)   Based on actual performance, effectiveness of
process change is evaluated against the defined
product requirements and process objectives to
determine whether results are due to common
or special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

ernance with enterprise governance and complying with laws, regulations and contracts.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

MEA02 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

MEA02 Monitor System of Internal Control

Purpose
Satisfy the business requirement of integrating IT governance with enterprise governance an

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any
Incomplete fails to achieve its process purpose. achievement of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating for t
Performed achieves its process purpose.

MEA02-O1 Processes, resources and information meet

enterprise internal control system requirements.

MEA02-O2 All assurance initiatives are planned and

executed effectively.

MEA02-O3 Independent assurance that the system of

internal control is operational and effective is provided.

MEA02-O4 Internal control is established and

deficiencies are identified and reported on.

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process
are identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to meet
plans.

PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
d)       Responsibilities and authorities for performing
the process are defined, assigned and
communicated.
e)       Resources and information necessary for
performing the process are identified, made
available, allocated and used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication
and also clear assignment of responsibility.
a)       Requirements for the work products of the
process are defined.
b)       Requirements for documentation and control of
the work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to
meet requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate
tailoring guidelines, is defined that describes the
fundamental elements that must be incorporated
into a defined process.
b)       The sequence and interaction of the standard
process with other processes is determined.
c)         Required competencies and roles for
performing a process are identified as part of the
standard process.
d)       Required infrastructure and work
environment for performing a process are
identified as part of the standard process.
e)       Suitable methods for monitoring the
effectiveness and suitability of the process are
determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard
process.
b)       Required roles, responsibilities and
authorities for performing the defined process are
assigned and communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education,
training, and experience.
d)       Required resources and information
necessary for performing the defined process are
made available, allocated and used.

Level 4 PA 4.1 Process Measurement - A
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified As a result of full achievement of this attribute:
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
e)       Required infrastructure and work
environment for performing the defined process
are made available, managed and maintained.
f)        Appropriate data are collected and analysed
as a basis for understanding the behaviour of,
and to demonstrate the suitability and
effectiveness of the process, and to evaluate
where continuous improvement of the process can
be made.
As a result of full achievement of this attribute:
a)       Process information needs in support of
relevant defined business goals are established.
b)       Process measurement objectives are derived
from process information needs.
c)        Quantitative objectives for process
performance in support of relevant business goals
are established.
d)       Measures and frequency of measurement are
identified and defined in line with process
measurement objectives and quantitative objectives
for process performance.
e)       Results of measurement are collected, analysed
and reported in order to monitor the extent to which
the quantitative objectives for process performance
are met.
f) Measurement results are used to characterise
process performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined
and applied where applicable.
b)    Control limits of variation are established for
normal process performance.
c)   Measurement data are analysed for special causes
of variation.
d)   Corrective actions are taken to address special
causes of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
a) Pprocess improvement objectives for the process
are defined that support the relevant business goals.
b)  Appropriate data are analysed to identify
common causes of variations in process
performance.
c)   Appropriate data are analysed to identify
opportunities for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.

PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
e)   An implementation strategy is established to
achieve the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed
against the objectives of the defined process and
standard process.
b) Implementation of all agreed changes is managed
to ensure that any disruption to the process
performance is understood and acted upon.
c)   Based on actual performance, effectiveness of process
change is evaluated against the defined product
requirements and process objectives to determine
whether results are due to common or special
causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

nce with enterprise governance and complying with laws, regulations and contracts.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process

 Self-assessmentTemplate (Appendix B of the Self-assessment Guide)

Process Name Level 0 Level 1 Level 2

MEA03 PA 1.1 PA 2.1

Rating by
Criteria
Capability
Level Achieved

N- 0%-15% P- 15%-50% L- 50%-85% F- 85%-100%

N – Not Achieved
P – Partially Achieved
L – Largely Achieved
F- Fully Achieved

MEA03 Monitor and Evaluate Compliance with External Requirements

Purpose
Satisfy the business requirement of integrating IT governance with enterprise governance an

Assess whether the following Criteria Are

Criteria
outcomes are achieved. Met Y/N

Level 0 The process is not implemented, or At this level, there is little or no evidence of any achievement
Incomplete fails to achieve its process purpose. of the process purpose.

Level 1 PA 1.1 The implemented process The following process outcomes are being achieved: Overall rating
Performed achieves its process purpose.

MEA03-O1 All external compliance requirements are

identified.

MEA03-O1A Organisational policies, standards, procedures

and methodologies are regularly reviwed to ensure
complaince with legal and regulatory requirements

MEA03-O2 External compliance requirements are adequately

addressed.

MEA03-O2A Compliance assurance reports

Level 2 Managed PA 2.1 Performance Management -
A measure of the extent to which
the performance of the process is
managed.
As a result of full achievement of this attribute:
a)       Objectives for the performance of the process are
identified.
b)       Performance of the process is planned and
monitored.
c)        Performance of the process is adjusted to meet
plans.

PA 2.2 Work Product Management - As a result of full achievement of this attribute:
A measure of the extent to which
the work products produced by the
process are appropriately managed.
The work products (or outputs from
the process) are defined and
controlled.
Level 3 PA 3.1 Process Definition - A
Established measure of the extent to which a
standard process is maintained to
support the deployment of the
defined process.
PA 3.2 Process Deployment - A
measure of the extent to which the
standard process is effectively
deployed as a defined process to
achieve its process outcomes.
d)       Responsibilities and authorities for performing the
process are defined, assigned and communicated.
e)       Resources and information necessary for performing
the process are identified, made available, allocated and
used.
f)        Interfaces between the involved parties are
managed to ensure both effective communication and
also clear assignment of responsibility.
a)       Requirements for the work products of the process
are defined.
b)       Requirements for documentation and control of the
work products are defined.
c)         Work products are appropriately identified,
documented, and controlled.
d)       Work products are reviewed in accordance with
planned arrangements and adjusted as necessary to meet
requirements.
As a result of full achievement of this attribute:
a)       A standard process, including appropriate tailoring
guidelines, is defined that describes the fundamental
elements that must be incorporated into a defined process.
b)       The sequence and interaction of the standard process
with other processes is determined.
c)         Required competencies and roles for performing a
process are identified as part of the standard process.
d)       Required infrastructure and work environment for
performing a process are identified as part of the
standard process.
e)       Suitable methods for monitoring the effectiveness
and suitability of the process are determined.
As a result of full achievement of this attribute:
a)       A defined process is deployed based upon an
appropriately selected and/or tailored standard process.
b)       Required roles, responsibilities and authorities for
performing the defined process are assigned and
communicated.
c)        Personnel performing the defined process are
competent on the basis of appropriate education, training,
and experience.
d)       Required resources and information necessary for
performing the defined process are made available,
allocated and used.
e)       Required infrastructure and work environment for
performing the defined process are made available,
managed and maintained.

Level 4 PA 4.1 Process Measurement - A As a result of full achievement of this attribute:
Predictable measure of the extent to which
measurement results are used to
ensure that performance of the
process supports the achievement of
relevant process performance
objectives in support of defined
business goals.
PA 4.2 Process Control - A measure
of the extent to which the process is
quantitatively managed to produce
a process that is stable, capable and
predictable within defined limits.
Level 5 PA 5.1 Process innovation - A
Optimizing. measure of the extent to which
changes to the process are identified
from analysis of common causes of
variation in performance, and from
investigations of innovative
approaches to the definition and
deployment of the process.
PA 5.2 Process optimisation - A
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
f)        Appropriate data are collected and analysed as a
basis for understanding the behaviour of, and to
demonstrate the suitability and effectiveness of the
process, and to evaluate where continuous
improvement of the process can be made.
a)       Process information needs in support of relevant
defined business goals are established.
b)       Process measurement objectives are derived from
process information needs.
c)        Quantitative objectives for process performance in
support of relevant business goals are established.
d)       Measures and frequency of measurement are
identified and defined in line with process measurement
objectives and quantitative objectives for process
performance.
e)       Results of measurement are collected, analysed and
reported in order to monitor the extent to which the
quantitative objectives for process performance are met.
f) Measurement results are used to characterise process
performance.
As a result of full achievement of this attribute:
a) Analysis and control techniques are determined and
applied where applicable.
b)    Control limits of variation are established for normal
process performance.
c)   Measurement data are analysed for special causes of
variation.
d)   Corrective actions are taken to address special causes
of variation.
e)    Control limits are re-established (as necessary)
following corrective action.
As a result of full achievement of this attribute:
a) Pprocess improvement objectives for the process are
defined that support the relevant business goals.
b)  Appropriate data are analysed to identify common
causes of variations in process performance.
c)   Appropriate data are analysed to identify opportunities
for best practice and innovation.
d)   Improvement opportunities derived from new
technologies and process concepts are identified.
e)   An implementation strategy is established to achieve
the process improvement objectives.
As a result of full achievement of this attribute:
a) Impact of all proposed changes is assessed against the
objectives of the defined process and standard process.
measure of the extent to which
changes to the definition,
management and performance of
the process result in effective impact
that achieves the relevant process
improvement objectives.
b) Implementation of all agreed changes is managed to
ensure that any disruption to the process performance is
understood and acted upon.

c)   Based on actual performance, effectiveness of process change

is evaluated against the defined product requirements and
process objectives to determine whether results are due to
common or special causes.
Level 2 Level 3 Level 4

PA 2.2 PA 3.1 PA 3.2 PA 4.1 PA 4.2

ith enterprise governance and complying with laws, regulations and contracts.

Comment Partially Largely Fully

Not achieved Achieved Achieved Achieved (85-
(0-15%) (15% -50%) (50% - 85%) 100%)

Overall rating for the process