Capability Maturity Framework for e-Government: A

Multi-dimensional Model and Assessing Tool*

Marcelo Iribarren1, Gastn Concha1, Gonzalo Valdes1, Mauricio Solar1,
Mara T. Villarroel2, Patricio Gutirrez2, lvaro Vsquez2
1

Universidad Tcnica Federico Santa Mara (UTFSM), Santiago de Chile,

Ministerio de Economa, Secretara Ejecutiva de Estrategia Digital, Gobierno de Chile
{miribarren, gconcha, gvaldes, msolar}@inf.utfsm.cl, {mtvillarroel, pgutierrez,
avasquez}@economia.cl

Abstract. This article describes an IT-based, eGov-centered and capabilitydriven model for assessing e-government capabilities and maturity of public
agencies. It is the result of an initiative of the Chilean government to reinforce
its e-government strategy. The proposed model, called eGov-MM (eGovernment Maturity Model), has three dimensions (a cube) supporting
business processes: information criteria, IT resources, and leverage domains.
Changing the traditional and exclusive focus on IT, four Leverage Domains are
defined: e-Strategy, IT Governance, Process Management, and People and
Organization Capabilities. The Leverage Domains generate a hierarchical
structure with a second level named Key Domain Areas. These areas should be
measurable and controllable, so they are related to a third hierarchical level,
called Critical Variables, allowing the models elements to be assessed
qualitatively and quantitatively. The capability and maturity of these variables
associated with the intersection with the other two axes of the cube establish
five levels of capability. The proposed model is strongly supported by the
international experience and best practices for IT management and has already
been field tested.
Key words: e-government, capability, maturity model.

1 Introduction
The initial stages of e-government have usually been focused on the introduction of
IT to improve the quality of data and to foster horizontal and vertical integration of
back-office and front-office systems, generally following the stages of growth
model for e-government of Layne and Lee [1]. Through this approach, governments
are seeking efficiency, effectiveness, and data quality improvement gains, all of them
representing a complex pool of organizational and technological challenges [2]. This

This work was supported by the Government of Chile and the Inter-American Development
Bank under the Multiphase Program to Strengthen the Digital Strategy project (code CHL1001). Document available from http://www.iadb.org

stage of e-government development characterizes most of the current strategies in the

developing countries of Latin-America, and Chile is no exception.
However, we uphold, like other authors [3, 4] that a digital front end by itself is not
a necessary and sufficient mechanism of change. In fact, a more reflective and critical
use of IT is required, meaning that the organizational core processes and their
supporting activities should also be considered when developing the digital front end.
Thus, to foster an integrated approach of the problems various edges, a
multidimensional model would be a more useful approach.
A well known model also supporting this integrated view is Wimmers holistic
reference framework for e-government [5]. Wimmers model supports integrated
modeling of e-government initiatives, synchronization with technology development,
and integration of several stakeholders views in order to develop successful egovernment initiatives. The Wimmer model is a good and useful basis for developing
successful e-government applications. Although we share this holistic approach, our
model is mainly focused on providing strategic reference for public organizations to
establish e-government capability evolution roadmaps instead of being a framework
for developing e-government projects.
This article presents a multidimensional capabilities maturity model, developed by
the Chilean government with the support of the Universidad Tcnica Federico Santa
Mara (UTFSM), which addresses the above considerations by combining four
domains of action of any large organization: organizationl-wide strategic direction, IT
governance, process management, and human resources. The rationale under the
model design, the model structure, and a methodology for the capability and maturity
determination are described in what follows.
As inputs for designing the proposed model, called eGov-MM (e-Government
Maturity Model), the following sources of information have been considered:
Best practices about e-government, identified through a national and international
state-of-the-art survey [6].
Models that provide the standard structure of a CMM (Capability Maturity
Model).
CMMs for e-government supporting the digital strategies of other governments
worldwide.
Other specific-purpose models which support the development of large
organizations such as those based on IT Governance or Enterprise Architecture
approaches.
The best practices included in the models design are related to implementation,
measurement and assessment of e-government strategies applied by the countries
included in the state-of-the-art survey part of the current project. This surveys sample
includes the United Kingdom [7, 8], the USA [9, 10, 11], Australia [12, 13, 14],
Canada [15], Sweden [16], South Korea [17], and others.
The basic structure of the model was obtained through a comparative analysis of
the two main international trends in maturity models applied to the software
engineering area: CMMI [18] of the USA, and ISO/IEC 15504 [19] of Europe.
The specific content of our model arises from the above mentioned international
best practices combined with relevant aspects of models specifically developed for egovernment [12, 13, 14, 15, 16, 17], and from the authors experience.

The approach of the main source for IT Governance was also analyzed: Control
Objectives for IT, COBIT [20].
Section 2 presents the general structure of the model. Section 3 presents the details
of its components: Leverage Domains and Key Domains Areas. In Section 4 the
capability and maturity rationale of the model is described, including an example. We
conclude the article in Section 5 by discussing the main advantages of the model and
proposing the next steps for further evolution of the model.

2 e-Government Capability Maturity Model

The focus of the proposed model is driven by two concepts defined in the following
paragraph: e-government and IT Governance.
Under the model rationale, e-government is the coupling of a governments need to
improve quality and efficiency of government information and services delivered to
citizens and business by public agencies, and the acknowledgment that ITs have a
relevant role to reach such an objective. Therefore, e-government is based on the
introduction of a new generation of transactional and distributed information systems
whose main aim is the improvement of the core business and supporting processes.
This coupling between business needs and IT shifts the classical e-government
challenge to a requirement for IT Governance, which is an area of activity where four
factors are linked in a continuous improvement cycle: IT is supporting business
processes which are executed by people that develop their activities in an
organizational context.
It should be stated that the proposed model is intended to become a supporting tool
for deploying nationwide e-government strategies, that is, it must be translated into an
assessment tool which allows diagnosing the capability and maturity level of public
agencies that are facing modernization challenges. It does not intend to be a processbased model, neither a tool to manage, monitor or control processes performance.
One dimension of the model is based on the definition of Leverage Domains and
Key Domain Areas (KDAs). The leverage domains are a logical grouping of KDAs,
which are the objects that really can be measured through what we call Critical
Variables.
Additionally, the model includes a clear distinction between capability and
maturity. In fact:
Capability level: Is a property of each critical variable and KDA, the
capability of the later determined by the capability of its constituent Critical
Variables. The weighting of each constituent variable is a parameter which
depends on the business domain in which the model is applied or the
countrys e-government reality.
Maturity level: This is a property associated with the whole organization,
each level corresponding to a set of KDAs in a given capability level. The
organizations maturity level determines a roadmap for e-government
development and for its service quality improvement strategy.

2.1 General Structure

The interaction of the three elements of the model is shown in Fig. 1. The business
requirements over the information generated by the organization define Information
Criteria that each KDA should satisfy by using IT resources. Each KDA (belonging
to a given Leverage Domain) can be assessed by measuring the satisfaction of its
objectives through its Critical Variables, which in turn determine the KDAs
capability level.
Information
Criteria

Leverage
Domains

Key
Domain
Areas

Critical
Variables

S
N
IO

AP
PL
IC
AT

MANAGEABILITY
COMPLIANCE
AVAILABILITY
INTEGRITY
CONFIDENTIALITY
EFFICIENCY
EFFECTIVENESS

FA
CI
L

D
IN
AT
FR
A
AS
IT
T
IE
RU
S
CT
UR
E

Leverage
Domains

IT
Resources

Fig. 1. Structure of the model showing the three dimensions of interrelated elements.

2.2 Model Elements

The model elements are the Information Criteria, the IT Resources, and a hierarchy of
Leverage Domains, KDAs and Critical Variables. The three dimensions of the
proposed model plus the business requirements interact with each other, generating a
dynamic cycle of continuous improvement as shown in Fig. 2.
The Information Criteria. To satisfy the business requirements, the information
must satisfy certain criteria which constitute the business requirements for this
information. These criteria for the information provided by a given KDA are:
Effectiveness: the information must be relevant and pertinent as well as being
delivered timely, correctly, and consistently.
Efficiency: the information must be generated by the most productive and
economical use of resources.
Confidentiality: the information must be protected from unauthorized disclosure.
Integrity: the information must be accurate and complete.

 Availability: the information must be available when required by the business

process, and its associated resources and capabilities must be safeguarded.
Compliance: the information must comply with those laws, regulations and
contractual arrangements to which the business process is subjected, i.e.,
externally imposed business criteria as well as internal policies.
Manageability: information must be easy to deal with and usable by management
to operate the organization and exercise its fiduciary and governance
responsibilities.
What do Business
Stakeholders expect
from IT?

Which
satisfy
satisfies

Information

To
provide

Business
Requirements

e-Gov
MM

Leverage
Domains

Drive the
investments
in
What kind of IT
resources do we
need to operate?
IT Resources

Which are
used by
How do we organize the
IT resources to satisfy the
requirements?

Fig. 2. Continuous improvement cycle provided by the eGov-MM.

The IT Resources. The Leverage Domains require IT Resources to generate, store

and deliver the information required to reach the business objectives. IT resources are:
Applications: information systems and manual procedures used to process data
and generate information.
Data: on every format required by the business and processed by the information
systems.
Infrastructure: technology (e.g., hardware, operating systems, database
management systems, networking, multimedia, etc.) that enables the processing
of the applications.
Facilities: the environment that houses and supports the IT infrastructure.
The Leverage Domains. They are the models core elements, over which the
different capability levels used to determine the current status of a given organization
are established. Four Leverage Domains, 17 Key Domain Areas (KDA), and 54
Critical Variables have been defined. Fig. 3 shows the hierarchical structure of the
four domains and their corresponding KDAs (the Critical Variables are not shown).
Domains and KDAs are described in the next section.

Fig. 3. Leverage domains and key domain areas.

3 Leverage Domains and Key Domain Areas

3.1 E-Government Strategy
This domain represents the organizations capability to articulate a consistent egovernment vision. In other words, the organization should have an IT strategy
aligned with the business strategy, which should consider explicitly a direction in
order to get involved in the electronic government. Its KDAs are:
(EGS-1) Vision, Strategies and Policies. It allows managing all IT resources
according to the organizations vision, business strategy, and priorities. At the same
time it allows alignment with national e-government policies.

Its objectives are measured or verified by: (1) Extent to which the stakeholders
have collaborated to develop the organizations vision, strategy, and eGov and IT
policies. (2) Degree of alignment between eGov vision and the business strategy. (3)
Degree of alignment between eGov vision and the national eGov policies. (4) Degree
of alignment of the IT, human capital, and economic resources strategies with the
national eGov policies.
(EGS-2) Enterprise Architecture Strategy. It allows defining the strategy of
Enterprise Architecture implementation, aligning it with national/industry reference
models and considering a strategy of component reuse in order to build it.
Its objectives are measured or verified by (1) existence of an enterprise
architecture; (2) existence of a consistent implementation strategy; (3) alignment with
reference models; (4) level of reuse of service components; and (5) definition of a
business architecture.
(EGS-3) IT Management and Organization. It allows defining the organizational
structure to implement the IT strategy, to support new business opportunities, to
follow industry technology trends, and to support the eGov and business visions.
Its objectives are measured or verified by (1) the existence of an instance to
monitor the technology trends in order to plan and build an adequate IT strategy and
enable the creation of new business opportunities; (2) the existence of a plan to create
and support IT infrastructure to develop the eGov; (3) the existence of an
organizational structure with clear positions and responsibilities; and (4) the existence
of an IT process map including its interactions.
3.2 IT Governance
According to Weill and Ross [21] IT governance is the process by which firms align
IT actions with their performance goal and assign accountability for those actions
and their outcome. It is therefore necessary to establish a framework which includes
the definition of structure, processes, responsibilities, and goals in order to ensure that
IT generates the desired outcomes and allows assessing how well the organization
achieves its goals (i.e., ensure that IT investments facilitate a reasonable business
return).
Having this definition in mind, the main aspects to be measured or verified to
fulfill each KDA are defined. For this and the following Leverage Domains the
KDAs objectives are not included simply due to space limitations.
(ITG-1) IT Architecture. (1) Development level of technical architectures that
support eGov, including applications, technology, network, and security. (2) How
well defined are service delivery methods and the required data entities.
(ITG-2) Portfolio and Risk Management. (1) How the organization manages new
projects and programs. (2) The organizations skills and knowledge to manage project
risks to make a smooth transition to eGov. (3) Existence of plans and actions to
reduce or mitigate risks.
(ITG-3) IT Services Delivery. (1) Existence of standards which assure a
homogenous quality in services and IT support either to the citizen or to internal
users. (2) Management and compliance with the accepted Service Level Agreements.

(3) Existence of a formal procedure to manage changes to the infrastructure

configuration supporting the critical processes of service delivery.
(ITG-4) Asset Utilization. (1) How the organization makes decisions to acquire new
IT resources and their priorities. (2) The organizations practices to outsource or
insource software development and hardware implantation. (3) Conformance level to
the defined acquisition procedures. (4) Usage level of electronic procurement. (5) The
level of effective and efficient use of IT assets.
3.3 Process Management
This domain represents the organizations capability to articulate a process-based
structure with well documented, standardized, and regulation-compliant processes. A
process-based organization should allow an online service delivery to citizens with
guaranteed quality and facilitate a continuous improvement process.
(PRM-1) Business Process Management. (1) Existence of a mechanism to transform
the service delivery process into an eGov business model characterized by a
continuous improvement cycle.
(PRM-2) Performance Management. (1) Existence of a mechanism to measure,
assess, and learn from the feedback provided by customers about service
effectiveness. (2) Existence of a set of balanced goals and measurements in order to
control the cost and benefits of the eGov initiatives.
(PRM-3) Service to Citizens and Business. (1) Documentation and modeling of
business processes supporting delivery of the service to citizens and enterprises. (2)
Deployment of a quality measurement system of the services delivered to citizen and
enterprises. (3) Availability of high-usability electronic channels and support
resources backing the spreading of services between citizen and enterprises.
(PRM-4) Interoperability. (1) Integration level of business strategy and inter-agency
processes achieved with other agencies. (2) Development level of semantic
interoperability enabling systems to combine external information in order to process
it in a meaningful manner. (3) Existence of technical interoperability that includes key
aspects such as open interfaces, interconnection services, data integration and
middleware, data presentation and exchange, accessibility, and security services.
(PRM-5) Compliance. (1) Compliance level with internal and external norms,
policies, and procedures related to eGov. (2) Existence, if required, of enough
resources to facilitate compliance with internal and external regulations. (3) Existence
of appropriate incentives to promote compliance with internal and external norms.
(PRM-6) Security and Quality Assurance. (1) Existence of a formal quality
assurance system based on recognized standards aligned with the business objectives
and promoting a continuous improvement service. (2) Existence of a formal
information security management system based on recognized standards. (3)
Implementation level of a structured program to measure the quality of service and
supporting tools.

3.4 People and Organization Capabilities

This domain determines the level of organizational and people competences required
for an effective and efficient eGov implementation.
(POC-1) Infrastructure and eGov Tools. (1) Availability of fundamental eGov tools
and technologies (like workflows, electronic documents, electronic signature, intranet,
etc.) supporting the organization in the design, implantation, and operation of eGov
directives. (2) Existence and usage level of value-added tools like Business
Intelligence, ERP, SCM, and others. (3) Existence and usage of relevant hardware
infrastructure for online services like datacenters, networks, servers, etc.
(POC-2) Knowledge Management. (1) Existence of procedures to access, store,
share, use, and update the knowledge related to IT and eGov. (2) Existence of
adequate IT infrastructure to manage knowledge.
(POC-3) Human Capital. (1) Existence of mechanisms to ensure the availability of
people competences required to support the eGov initiatives. (2) Consistency between
the previously defined competences and the selection and hiring process of IT people
required in the organization. (3) Existence and suitability of a scheduled program and
procedures to train and educate IT and non-IT people in the organization to assure a
professional development.
(POC-4) Change Management. (1) How the organization is arranged to manage the
change and its cultural impact. (2) Plans to reduce the natural opposition to change
and facilitate the use and incorporation of new technologies and systems.

4 Staged Capability and Maturity Model

4.1 Capability and Maturity Determination
The model considers a five-level staged development of the KDAs capability. Each
KDA includes variables which have capability levels of their own; a weighted
average of the resulting variables capability levels determines the KDAs capability
level. To determine the variables capability levels, a set of common patterns was
defined: in level 1 the capability does not exist, although the organization may have
recognized its importance; in level 2 the capability exists but it is neither structured
nor formalized; in level 3 the capability exists and is well documented and structured;
in level 4 the capability is structured, and metrics and automatic tools have been
defined and standardized in order to improve its effectiveness and efficiency; and
finally, level 5 implies all the above plus the use of best practices and international
standards in the achievement of the capability.
To measure the capacity level of each variable a web-based assessment tool was
built which has a set of questions for each variable at each level. The questions are
directly related to the roadmap that allows the variables capacity evolution.
The organizational maturity level corresponds to a combination of KDAs which
are in a given capability level. Following a structure similar to that of CMMI, for each
of the five maturity levels a KDA combination has been defined. For example,

maturity level 2 includes only 8 of the 17 KDAs, all of them at capability level 2.
Maturity level 3 includes 14 of the 17 KDAs, with 9 at capability level 3 and 5 at
capacity level 2.
4.2 Using the KDA Capability Levels
This subsection presents an example of how the KDAs capability levels are defined.
The selected KDA is Vision, Strategies, and Policies from the e-Government Strategy
leverage domain. Three capability levels are described.
Vision, Strategies and Policies. This KDA must satisfy the business objective of
managing and conducting all IT resources according to the business strategy and its
priorities. Its relevant Information Criteria are Effectiveness and Availability, and the
main IT resources required are Applications and Data.
Its level of capability is determined by the following variables: (1) Strategy
alignment with the national eGov directions. (2) CEO and upper management
commitment with the implementation of eGov initiatives. (3) Periodic communication
to all involved people within the organization. (4) Resource assignment commitment
with the implementation of the organizational eGov strategy.
The capability levels are defined below. Within each level four assertions are
presented, one for each variable related to the KDA.
Level 1 Initial: (1) There is evidence that the enterprise has recognized that the
strategy alignment is important and needs to be addressed; however, there are no
actions nor approaches that tend to be applied. (2) There is no awareness and
need for the top manager to get involved early with the eGov initiatives. (3) There
are no formal actions to communicate the eGov initiatives to the people in the
organization. (4) There is no evidence of resources specifically allocated for the
eGov implementation.
Level 3 Defined: (1) The eGov Vision is well defined and it is integrated to the
business strategy. There is a policy about IT and eGov strategy planning and it is
well documented. (2) Top manager and directors are committed to and get
involved early in the eGov initiatives. (3) The eGov vision, policies and strategy
have been communicated to and are well understood by all personnel in the
organization. (4) Enough monetary resources to support eGov initiatives have
been assigned. Their allocation is included in the organizations annual budget.
Level 5 Optimized and Integrated: (1) The vision is periodically reviewed
according to stakeholders needs and new technologies. The strategy and policies
are periodically updated according to feedback from clients, suppliers, and
government policies. The strategy planning process is continuously compared
with the industry standards. (2) Manager and directors have an explicit role
assigned in the IT strategy planning process. (3) Personnel, clients, and partners
are considered when the eGov vision is developed. (4) Resources assigned to the
eGov initiatives are periodically adjusted according to a cost/benefit analysis and
to client satisfaction.

5 Conclusions and Future Work

Based on the international experience on maturity models and e-government specific
models intended to measure the capability of public agencies in developed countries,
a model was built and tuned to the characteristics of the public sector of an emerging
country. However, two features of the model allow it to be easily adapted to other
realities: first, the weighted relationship between critical variables and key domain
areas; and second the CMMI compatible structure to calculate organization maturity.
During the models development phase, internationally accepted best practices for
IT Governance, like COBIT, were analyzed. Thus, two of the three eGov-MM
dimensions are already internationally agreed on, namely information criteria and IT
resources.
The third dimension (i.e., the Leverage Domains) intercepts with the others
according to their relevance to a given Key Domain Area. thus facilitating a better
adjustment of the model to the diversity of public agencies realities. This dimension
is also strongly based on internationally accepted practices.
The hierarchy of Leverage Domains, its KDAs, and Critical Variables determine
the organizations maturity, and they are involved in a dynamic cycle with business
requirements as the main triggering input. This virtuous cycle allows a continuous
improvement of service delivery by public agencies, making it easier for them to
transit towards higher maturity levels through planned roadmaps.
Given the models attributes, capturing the field experience obtained through its
application in the public sector in Chile is being optimized. It had a first adjustment
cycle, mostly derived from the results of a pilot test held in April 2008 with the
participation of eight public agencies. Massive testing is under way, starting in June
2008, including thirty public agencies. This massive testing is supported by a webbased assessment tool, call center support and a strong preassessment training and
awareness program.
The models structure may be seen as rather complex, making its full application
difficult. However, a flexible web-based tool developed to support the assessment
counteracts this potential disadvantage. It also goes together with the definition of
specific profiles that should provide information for KDA subsets, reducing the
information collection workload and ensuring the quality of the collected data.
We expect that this model will become a useful tool to assess public agencies in
the Chilean government and to support e-government strategic programs in other
countries. It is also expected to become a tool for supporting the IT investment
strategies, e-government roadmaps, and interoperability strategies of the public sector.

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