ISO/IEC 38503:2022
(Main)Information technology — Governance of IT — Assessment of the governance of IT
Information technology — Governance of IT — Assessment of the governance of IT
This document provides guidance on the assessment of governance of information technology (IT) based on the principles, definitions and model for the governance of IT outlined in ISO/IEC 38500 and ISO/IEC TR 38502 and the implementation considerations outlined in ISO/IEC TS 38501. This document includes approaches for conducting the assessment, the criteria against which the assessment can be made, guidance on the evidence that can be used for the assessment, as well as a method for determining the maturity of the organization’s governance of IT. This document is applicable to organizations of all sizes, regardless of the extent of their use of IT.
Technologies de l'information — Gouvernance des TI — Évaluation de la gouvernance des TI
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INTERNATIONAL ISO/IEC
STANDARD 38503
First edition
2022-01
Information technology — Governance
of IT — Assessment of the governance
of IT
Technologies de l'information — Gouvernance des TI — Évaluation
de la gouvernance des TI
Reference number
ISO/IEC 38503:2022(E)
© ISO/IEC 2022
---------------------- Page: 1 ----------------------
ISO/IEC 38503:2022(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2022
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on
the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below
or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii
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---------------------- Page: 2 ----------------------
ISO/IEC 38503:2022(E)
Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Benefits of the assessment of the governance of IT . 2
4.1 Context . 2
4.2 Benefits of assessing the governance of IT . 2
5 Assessment scope and approach . 3
5.1 Establish scope . 3
5.2 Assessment approach and involved parties . 4
5.3 Roles, responsibilities and competencies . 5
5.3.1 Roles associated with the assessment of the governance of IT . 5
5.3.2 Governing body . 6
5.3.3 Sponsor . 6
5.3.4 Executive management . 7
5.3.5 Assessment expert (assessor). 7
5.3.6 Business expert . 7
5.3.7 Technical expert. 8
6 Assessment of the governance of IT . 8
6.1 Assessment overview . 8
6.2 Reference model for the governance of IT . 9
6.2.1 Governance of IT practice areas . 9
6.2.2 Governance of IT characteristics . 9
6.2.3 Measurement model for the governance of IT . 10
6.2.4 Assessment framework for the governance of IT . 11
6.3 Assessment of the governance of IT .12
6.4 Governance of IT maturity model .12
7 Assessment activities . .14
7.1 Plan the assessment . 14
7.2 Perform the assessment .15
7.2.1 Collect the data . 15
7.2.2 Conduct the assessment .15
7.3 Report the assessment. 16
Annex A (Informative) Assessment framework — Governance of IT practice areas .17
iii
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ISO/IEC 38503:2022(E)
Foreword
ISO (the International Organization for Standardization) and IEC (the International Electrotechnical
Commission) form the specialized system for worldwide standardization. National bodies that are
members of ISO or IEC participate in the development of International Standards through technical
committees established by the respective organization to deal with particular fields of technical
activity. ISO and IEC technical committees collaborate in fields of mutual interest. Other international
organizations, governmental and non-governmental, in liaison with ISO and IEC, also take part in the
work.
The procedures used to develop this document and those intended for its further maintenance
are described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria
needed for the different types of documents should be noted. This document was drafted in
accordance with the editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives or
www.iec.ch/members_experts/refdocs).
Attention is drawn to the possibility that some of the elements of this document may be the subject
of patent rights. ISO and IEC shall not be held responsible for identifying any or all such patent
rights. Details of any patent rights identified during the development of the document will be in the
Introduction and/or on the ISO list of patent declarations received (see www.iso.org/patents) or the IEC
list of patent declarations received (see patents.iec.ch).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO's adherence to
the World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see
www.iso.org/iso/foreword.html. In the IEC, see www.iec.ch/understanding-standards.
This document was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,
Subcommittee SC 40, IT Service Management and IT Governance.
Any feedback or questions on this document should be directed to the user’s national standards
body. A complete listing of these bodies can be found at www.iso.org/members.html and
www.iec.ch/national-committees.
iv
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ISO/IEC 38503:2022(E)
Introduction
As part of their accountability for an organization, governing bodies are responsible and accountable
for the current and future use of IT (information technology) within an organization. To meet this
obligation, it is recommended that members of the governing body ensure that there is effective
governance of IT within the organization, involving both their own activities in setting the direction for
the organizational use of IT, as well as their oversight and evaluation of the management of IT within
the organization.
ISO/IEC 38500 provides principles, definitions and a model for governing bodies to use when evaluating,
directing and monitoring the use of IT in their organizations. This document provides guidance on how
to assess an organization’s governance of IT arrangements based on ISO/IEC 38500, ISO/IEC TS 38501
and ISO/IEC TR 38502.
The specific arrangements for the governance of IT vary from organization to organization. The
variation depends on various factors including the organization’s level of reliance on IT, both
strategically and operationally, as well as the size and nature of the organization.
Governing bodies should seek continual improvement of the governance of IT as part of their overall
accountability for organization governance and they should assess whether the current arrangements
meet the needs of the organization. They should use such an assessment to improve the effectiveness of
the governance of IT in a structured way, with a planned approach. The assessment should address not
only management’s approach to supporting the governance of IT but also the effectiveness of their own
approach to evaluating, directing and monitoring management activities.
The purpose of this document is to assist governing bodies, authorized subcommittees and other key
stakeholders in assessing the capability and maturity of the arrangements for the governance of IT in
the organization.
It provides an objective approach for determining whether the governing body is appropriately
governing IT, as well as examples of the practices and outcomes (referred to as ‘characteristics’ in
this document) of the good governance of IT (see Tables A.1 to A.7 in Annex A). The outcomes of the
assessment can be used to assist the governing body to determine where and how the governance of IT
can be improved in the organization.
The primary audiences for this document are the governing body and its subcommittees, executive
managers and assessors, who will also derive benefit from this document when planning and conducting
an assessment of the organization’s governance of IT.
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INTERNATIONAL STANDARD ISO/IEC 38503:2022(E)
Information technology — Governance of IT — Assessment
of the governance of IT
1 Scope
This document provides guidance on the assessment of governance of information technology (IT)
based on the principles, definitions and model for the governance of IT outlined in ISO/IEC 38500 and
ISO/IEC TR 38502 and the implementation considerations outlined in ISO/IEC TS 38501.
This document includes approaches for conducting the assessment, the criteria against which the
assessment can be made, guidance on the evidence that can be used for the assessment, as well as a
method for determining the maturity of the organization’s governance of IT.
This document is applicable to organizations of all sizes, regardless of the extent of their use of IT.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies.
ISO/IEC 38500, Information technology — Governance of IT for the organization
ISO/IEC TS 38501, Information technology — Governance of IT — Implementation guide
ISO/IEC TR 38502, Information technology — Governance of IT — Framework and model
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminology databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at https:// www .electropedia .org/
3.1
beneficial outcome
achievement of a high-level objective of the organization, related to the successful deployment and use
of information technology
3.2
evidence of success
observable and measurable deliverables from information technology functions/processes that support
and enable the achievement of beneficial outcomes
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ISO/IEC 38503:2022(E)
4 Benefits of the assessment of the governance of IT
4.1 Context
The governance of IT involves appropriate behaviours from governing bodies and management to
create and maintain a framework for the use of IT, that delivers long-term value consistent with the
expectations of its stakeholders, including:
— continuous innovation in services, markets and business;
— clarity of responsibility and accountability for both the supply of and demand for IT in achieving the
strategic goals of the organization;
— assurance of business continuity and sustainability through IT;
— realization of the expected benefits from each IT investment;
— conformance with relevant obligations (regulatory, legislation, common law, contractual);
— effective oversight of the management of IT risks;
— constructive relationships and effective communications between the business and IT management,
and with external partners.
However, organizations can experience a wide variety of challenges, which can prevent them from
achieving the desired outcomes from their efforts at governing IT, including:
— the governing body and executive managers delegating the responsibility for the governance of IT
to those responsible for implementing technology;
— the lack of policies and frameworks clarifying the relationship between governance of IT and
management of IT;
— dependence on organizational processes, rather than effective decision making, appropriate
behaviours, proper communication and suitable human interactions;
— difficulty monitoring and measuring behaviours and expected outcomes, including:
— ensuring that IT objectives are aligned to the organization’s purpose and objectives;
— ensuring that IT risks are known and mitigated;
— stewardship of enterprise assets, resources and continuity planning;
— conformance by the organization with established and expected norms of behaviour;
— holding IT accountable for the delivery of services and solutions;
— evolution of business models through the use of information and the adoption of new
technologies.
4.2 Benefits of assessing the governance of IT
It is important, therefore, for organizations to adopt a structured method to assess whether their
governance of IT arrangements are achieving the desired outcomes and the key benefits, including:
— assisting with the development of the framework for the governance of IT;
— determining the strengths and weaknesses of the current governance of IT capability;
— helping to determine improvement actions that need to be taken;
2
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ISO/IEC 38503:2022(E)
— improving the levels of engagement between executive managers and the governing body as regards
expectations and outcomes related to the governance of IT;
— creating an awareness in the governing body of their roles and responsibilities as regards the
governance of IT;
— assisting organizations with IT conformance;
— providing feedback to the governance stakeholders and support staff.
5 Assessment scope and approach
5.1 Establish scope
The governing body shall define the scope and the requirements and objectives of the assessment. The
governing body shall identify those stakeholders which require, or might benefit from, the results of an
assessment of the governance of IT. For these stakeholders, the needs and expectations shall be taken
into consideration when designing the assessment.
In establishing the scope, focus and priority of the assessment, consideration shall be given to
evaluating issues of highest importance to the organization in order to achieve the greatest benefits
and not to waste resources. This can take account of the level of operational reliance on IT, the existence
of assurance inputs, as well as any specific strategic initiatives of importance and priority to the
organization.
Figure 1 shows areas related to the implementation of governance of IT, as described in ISO/IEC TS 38501,
that shall be considered when defining the scope of the assessment.
Figure 1 — Areas for consideration in the assessment of the governance of IT
[SOURCE: ISO/IEC TS 38501:2015, Figure 1]
Table 1 identifies key aspects related to the implementation of governance of IT, as described in
ISO/IEC TS 38501, that shall be considered when defining the scope of the assessment.
3
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ISO/IEC 38503:2022(E)
Table 1 — Key aspects for consideration in the assessment of the governance of IT
Establish and sustain enabling environment
— goals and objectives of governance of IT
— understanding of stakeholders, roles and responsibilities
— stakeholder engagement
— delegation of authority
Govern IT
— application of the six principles and EDM Model
— governance steering group
— internal and external environment
— articulation of current and desired states and beneficial outcomes
— monitoring capability and identification of evidence of success
— change programme
Continual review
— improvement in value derived from IT
— management of risks associated with IT
— additional governance actions required
5.2 Assessment approach and involved parties
In establishing an assessment approach, consideration shall be given to the objectives/purpose of the
assessment, degree of independence required for the assessment, the skills/knowledge of the assessors
and participants and other relevant considerations dependent on the specific arrangements for the
governance of IT within the organization.
The assessment approach shall be approved by the governing body. It shall be supported with the details
of the assessment framework, an assessment plan, roles and responsibilities of assessors, timing of the
assessment, resources necessary for the assessment and an understanding of the skills and knowledge
of the assessors.
There are different approaches to the assessment of the governance of IT. The assessment approaches
and the key considerations are summarized in Table 2.
Table 2 — Assessment approach and key considerations
Governing body Internally facilitated Externally facilitated as-
assessment assessment sessment
Description Assessment of governance Assessment of governance of Assessment of governance
of IT performed by the IT performed by approved, of IT performed by approved
governing body; this can skilled and knowledgeable skilled and knowledgea-
be considered similar to a internal resources or asses- ble external resources or
self-assessment. sors to support the assess- assessors to support the
ment. assessment.
4
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ISO/IEC 38503:2022(E)
Table 2 (continued)
Governing body Internally facilitated Externally facilitated as-
assessment assessment sessment
Objective/ Purpose — high-level self- — detailed internal — detailed independent
assessment assessment external assessment
— enables the governing — provides the governing — provides the governing
body to monitor its own body with an internal body with an external
performance in respect perspective on the perspective on the
to the governance of IT extent to which extent to which
it is meeting its it is meeting its
responsibilities responsibilities
in respect of the in respect of the
governance of IT governance of IT
Benefits — speed/ease — broader involvement — greater objectivity
(executive
— no dependency on — ability to support
management)
assessors (internal or external reporting
external) — greater level of requirements
information considered
Participants — governing body — governing body — governing body
— executive management — executive management
— business and technical — business and technical
experts experts
Assessor — member of the — internal assessor/s — external independent
governing body assessor/s
Success factors — the governing body — the governing body — the governing body
shall be committed to shall be committed to shall be committed to
performing the self- supporting the internal supporting the external
assessment and acting assessment and acting assessment and acting
on its conclusions on its conclusions on its conclusions
— the internal resource
has the necessary
authority to assess the
governing body
5.3 Roles, responsibilities and competencies
5.3.1 Roles associated with the assessment of the governance of IT
The following are the important roles within the context of the assessment of the governance of IT. A
full description is provided for each role in the following subclauses:
— governing body (see 5.3.2);
— sponsor (see 5.3.3);
— executive management (see 5.3.4);
— assessment expert (assessor) (see 5.3.5);
— business expert (see 5.3.6);
— technical expert (see 5.3.7).
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ISO/IEC 38503:2022(E)
5.3.2 Governing body
The governing body is a key role in the assessment. It provides the overall direction to the assessment
and ensures that the assessment adds value to the overall governance objective. In the event of the
governing body performing the assessment itself, there are additional responsibilities and skills/
knowledge requirements. These are shown in Table 3.
Table 3 — Responsibilities and skills/knowledge of the governing body
Responsibilities Skills/Knowledge
— Overall: — Overall:
— establish the key objectives of the assessment; — should have a basic awareness of
ISO/IEC 38500, ISO/IEC TS 38501 and
— approve the assessment scope and approach;
ISO/IEC TR 38502;
— enable executive management to achieve the
— shall understand the internal and external
key objectives of the assessment;
context within which the organization
operates.
— evaluate whether the assessment provides the
— Governing body assessment:
desired deliverables as per the key objectives;
— members of the governing body participating
— ensure that the assessment adds value to the
as an assessor in the governing body
overall governance objectives; approve/reject
assessment shall have the skills and
the formal assessment report submitted by the
knowledge required to conduct the governing
sponsor.
body assessment, where required.
— Governing body assessment:
— the overall responsibilities described above
are still applicable;
— if there is a gap in competencies for
performing the assessment, nominate the
relevant members to acquire the competencies
for performing the assessment;
— manage the operational aspects of the
assessment and the production of the report.
5.3.3 Sponsor
The sponsor is a member of the governing body. The sponsor ensures that the scope of assessment
is finalized and the resources required for conducting the assessment are available. The sponsor’s
responsibilities and skills/knowledge requirements are shown in Table 4.
Table 4 — Responsibilities and skills/knowledge of the sponsor
Responsibilities Skills/Knowledge
— finalize and approve the plan for the assessment; — should have a basic awareness of ISO/IEC 38500,
ISO/IEC TS 38501 and ISO/IEC TR 38502;
— ensure that the resources required for conducting
the assessment are available; — shall understand the internal and external context
within which the organization operates.
— ensure that the assessor has access to business
and technical experts required during the
assessment;
— review of final report and submission to
governing body.
6
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ISO/IEC 38503:2022(E)
5.3.4 Executive management
Executive management follows the directives of the governing body as regards the assessment and
provides the assessor with the required assessment data and support. The executive management’s
responsibilities and skills/knowledge requirements are shown in Table 5.
Table 5 — Responsibilities and kills/knowledge of the executive management
Responsibilities Skill/Knowledge
— work towards achieving the key objectives of the — should have basic awareness of ISO/IEC 38500,
assessment; ISO/IEC TS 38501 and ISO/IEC TR 38502;
— review the assessment plan as prepared by the — shall understand the internal and external context
assessor, where required; within which the organization operates;
— provide the assessor with the required — should build trust and personal accountability
assessment data and access to business and among all participating roles.
technical experts;
— review the accuracy and completeness of the
assessment report;
— manage communication between the governing
body and downstream stakeholders.
5.3.5 Assessment expert (assessor)
The assessment expert (assessor) is the individual or group of individuals who perform the actual
assessment. The assessor’s responsibilities and skills/knowledge requirements are shown in Table 6.
Table 6 — Responsibilities and skills/knowledge of the assessment expert (assessor)
Responsibilities Skills/Knowledge
— understand and document the objectives for the — shall have a good knowledge of ISO/IEC 38500,
assessment; ISO/IEC TS 38501 and ISO/IEC TR 38502 and the
assessment framework;
— verify that the assessment approach is approved;
— shall understand the governance of IT
— verify that the assessment scope is properly
arrangements within the organization and the
established before the start of assessment;
various roles and their contributions;
— prepare the assessment plan and conduct the
— shall have good knowledge of assessment
activities as per the assessment plan;
standards and best practices and shall have
experience enabling them to apply the same
— prepare and submit the assessment report.
towards assessment.
5.3.6 Business expert
The business expert is the individual or group of individuals who constitute the internal resource
providing the necessary business data required to perform the actual assessment. The business
expert’s responsibilities and skills/knowledge requirements are shown in Table 7.
7
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ISO/IEC 38503:2022(E)
Table 7 — Responsibilities and skills/knowledge of the business expert
Responsibilities Skills/Knowledge
— understand the scope and objective of the — should have basic knowledge of the business
assessment; benefits of ISO/IEC 38500, ISO/IEC TS 38501 and
ISO/IEC TR 38502;
— provide business domain expertise required
during the assessment. — shall have good knowledge and understanding of
organization’s business processes and procedures;
— should understand how IT can enable business
innovation and transformation and value
generation.
5.3.7 Technical expert
The technical expert is the individual or group of individuals who constitute the internal resources
providing the necessary technical expertise and support required to perform the actual assessment.
The technical expert’s r
...
FINAL
INTERNATIONAL ISO/IEC
DRAFT
STANDARD FDIS
38503
ISO/IEC JTC 1/SC 40
Information technology — Governance
Secretariat: SA
of IT — Assessment of the governance
Voting begins on:
2021-10-13 of IT
Voting terminates on:
2021-12-08
RECIPIENTS OF THIS DRAFT ARE INVITED TO
SUBMIT, WITH THEIR COMMENTS, NOTIFICATION
OF ANY RELEVANT PATENT RIGHTS OF WHICH
THEY ARE AWARE AND TO PROVIDE SUPPOR TING
DOCUMENTATION.
IN ADDITION TO THEIR EVALUATION AS
Reference number
BEING ACCEPTABLE FOR INDUSTRIAL, TECHNO-
ISO/IEC FDIS 38503:2021(E)
LOGICAL, COMMERCIAL AND USER PURPOSES,
DRAFT INTERNATIONAL STANDARDS MAY ON
OCCASION HAVE TO BE CONSIDERED IN THE
LIGHT OF THEIR POTENTIAL TO BECOME STAN-
DARDS TO WHICH REFERENCE MAY BE MADE IN
NATIONAL REGULATIONS. © ISO/IEC 2021
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ISO/IEC FDIS 38503:2021(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2021
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on
the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below
or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii
© ISO/IEC 2021 – All rights reserved
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ISO/IEC FDIS 38503:2021(E)
Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Benefits of the assessment of the governance of IT . 2
4.1 Context . 2
4.2 Benefits of assessing the governance of IT . 2
5 Assessment scope and approach . 3
5.1 Establish scope . 3
5.2 Assessment approach and involved parties . 4
5.3 Roles, responsibilities and competencies . 5
5.3.1 Roles associated with the assessment of the governance of IT . 5
5.3.2 Governing body . 6
5.3.3 Sponsor . 6
5.3.4 Executive management . 7
5.3.5 Assessment expert (assessor). 7
5.3.6 Business expert . 8
5.3.7 Technical expert. 8
6 Assessment of the governance of IT . 8
6.1 Assessment overview . 8
6.2 Reference model for the governance of IT . 9
6.2.1 Governance of IT practice areas . 9
6.2.2 Governance of IT characteristics . 9
6.2.3 Measurement model for the governance of IT . 10
6.2.4 Assessment framework for the governance of IT . 10
6.3 Assessment of the governance of IT . 11
6.4 Governance of IT maturity model .12
7 Assessment activities . .14
7.1 Plan the assessment . 14
7.2 Perform the assessment .15
7.2.1 Collect the data . 15
7.2.2 Conduct the assessment .15
7.3 Report the assessment. 15
Annex A (Informative) Assessment framework — Governance of IT practice areas .17
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ISO/IEC FDIS 38503:2021(E)
Foreword
ISO (the International Organization for Standardization) and IEC (the International Electrotechnical
Commission) form the specialized system for worldwide standardization. National bodies that are
members of ISO or IEC participate in the development of International Standards through technical
committees established by the respective organization to deal with particular fields of technical
activity. ISO and IEC technical committees collaborate in fields of mutual interest. Other international
organizations, governmental and non-governmental, in liaison with ISO and IEC, also take part in the
work.
The procedures used to develop this document and those intended for its further maintenance
are described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria
needed for the different types of documents should be noted. This document was drafted in
accordance with the editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives or
www.iec.ch/members_experts/refdocs).
Attention is drawn to the possibility that some of the elements of this document may be the subject
of patent rights. ISO and IEC shall not be held responsible for identifying any or all such patent
rights. Details of any patent rights identified during the development of the document will be in the
Introduction and/or on the ISO list of patent declarations received (see www.iso.org/patents) or the IEC
list of patent declarations received (see patents.iec.ch).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO's adherence to
the World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see
www.iso.org/iso/foreword.html. In the IEC, see www.iec.ch/understanding-standards.
This document was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,
Subcommittee SC 40, IT Service Management and IT Governance.
Any feedback or questions on this document should be directed to the user’s national standards
body. A complete listing of these bodies can be found at www.iso.org/members.html and
www.iec.ch/national-committees.
iv
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ISO/IEC FDIS 38503:2021(E)
Introduction
As part of their accountability for an organization, governing bodies are responsible and accountable
for the current and future use of IT (information technology) within an organization. To meet this
obligation, it is recommended that members of the governing body ensure that there is effective
governance of IT within the organization, involving both their own activities in setting the direction for
the organizational use of IT, as well as their oversight and evaluation of the management of IT within
the organization.
ISO/IEC 38500 provides principles, definitions and a model for governing bodies to use when evaluating,
directing and monitoring the use of IT in their organizations. This document provides guidance on how
to assess an organization’s governance of IT arrangements based on ISO/IEC 38500, ISO/IEC TS 38501
and ISO/IEC TR 38502.
The specific arrangements for the governance of IT vary from organization to organization. The
variation depends on various factors including the organization’s level of reliance on IT, both
strategically and operationally, as well as the size and nature of the organization.
Governing bodies should seek continual improvement of the governance of IT as part of their overall
accountability for organization governance and they should assess whether the current arrangements
meet the needs of the organization. They should use such an assessment to improve the effectiveness of
the governance of IT in a structured way, with a planned approach. The assessment should address not
only management’s approach to supporting the governance of IT but also the effectiveness of their own
approach to evaluating, directing and monitoring management activities.
The purpose of this document is to assist governing bodies, authorized subcommittees and other key
stakeholders in assessing the capability and maturity of the arrangements for the governance of IT in
the organization.
It provides an objective approach for determining whether the governing body is appropriately
governing IT, as well as examples of the practices and outcomes (referred to as ‘characteristics’ in
this document) of the good governance of IT (see Tables A.1 to A.7 in Annex A). The outcomes of the
assessment can be used to assist the governing body to determine where and how the governance of IT
can be improved in the organization.
The primary audiences for this document are the governing body and its subcommittees, executive
managers and assessors, who will also derive benefit from this document when planning and conducting
an assessment of the organization’s governance of IT.
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FINAL DRAFT INTERNATIONAL STANDARD ISO/IEC FDIS 38503:2021(E)
Information technology — Governance of IT — Assessment
of the governance of IT
1 Scope
This document provides guidance on the assessment of governance of information technology (IT)
based on the principles, definitions and model for the governance of IT outlined in ISO/IEC 38500 and
ISO/IEC TR 38502 and the implementation considerations outlined in ISO/IEC TS 38501.
This document includes approaches to conducting the assessment, the criteria against which the
assessment can be made, guidance on the evidence that can be used for the assessment, as well as a
method for determining the maturity of the organization’s governance of IT.
This document is applicable to organizations of all sizes, regardless of the extent of their use of IT.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies.
ISO/IEC 38500, Information technology — Governance of IT for the organization
ISO/IEC/TS 38501, Information technology — Governance of IT — Implementation guide
ISO/IEC/TR 38502, Information technology — Governance of IT — Framework and model
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at https:// www .electropedia .org/
3.1
beneficial outcome
achievement of a high-level objective of the organization, related to the successful deployment and use
of information technology
3.2
evidence of success
observable and measurable deliverables from information technology functions/processes that support
and enable the achievement of beneficial outcomes
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4 Benefits of the assessment of the governance of IT
4.1 Context
The governance of IT involves appropriate behaviours from governing bodies and management to
create and maintain a framework for the use of IT, that delivers long-term value consistent with the
expectations of its stakeholders, including:
— continuous innovation in services, markets and business;
— clarity of responsibility and accountability for both the supply of and demand for IT in achieving the
strategic goals of the organization;
— assurance of business continuity and sustainability through IT;
— realization of the expected benefits from each IT investment;
— conformance with relevant obligations (regulatory, legislation, common law, contractual);
— effective oversight of the management of IT risks;
— constructive relationships and effective communications between the business and IT management,
and with external partners.
However, organizations can experience a wide variety of challenges, which can prevent them from
achieving the desired outcomes from their efforts at governing IT, including:
— the governing body and executive managers delegating the responsibility for the governance of IT
to those responsible for implementing technology;
— the lack of policies and frameworks clarifying the relationship between governance of IT and
management of IT;
— dependence on organizational processes, rather than effective decision making, appropriate
behaviours, proper communication and suitable human interactions;
— difficulty monitoring and measuring behaviours and expected outcomes, including:
— ensuring that IT objectives are aligned to the organization’s purpose and objectives;
— ensuring that IT risks are known and mitigated;
— stewardship of enterprise assets, resources and continuity planning;
— conformance by the organization with established and expected norms of behaviour;
— holding IT accountable for the delivery of services and solutions;
— evolution of business models through the use of information and the adoption of new
technologies.
4.2 Benefits of assessing the governance of IT
It is important, therefore, for organizations to adopt a structured method to assess whether their
governance of IT arrangements are achieving the desired outcomes and the key benefits, including:
— assisting with the development of the framework for the governance of IT;
— determining the strengths and weaknesses of the current governance of IT capability;
— helping to determine improvement actions that need to be taken;
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— improving the levels of engagement between executive managers and the governing body as regards
expectations and outcomes related to the governance of IT;
— creating an awareness in the governing body of their roles and responsibilities as regards the
governance of IT;
— assisting organizations with IT conformance;
— providing feedback to the governance stakeholders and support staff.
5 Assessment scope and approach
5.1 Establish scope
The governing body shall define the scope and the requirements and objectives of the assessment. The
governing body shall identify those stakeholders which require, or might benefit from, the results of an
assessment of the governance of IT. For these stakeholders, the needs and expectations shall be taken
into consideration when designing the assessment.
In establishing the scope, focus and priority of the assessment, consideration shall be given to
evaluating issues of highest importance to the organization in order to achieve the greatest benefits
and not to waste resources. This can take account of the level of operational reliance on IT, the existence
of assurance inputs, as well as any specific strategic initiatives of importance and priority to the
organization.
Figure 1 shows areas related to the implementation of governance of IT, as described in ISO/
IEC TS 38501, that shall be considered when defining the scope of the assessment.
Figure 1 — Areas for consideration in the assessment of the governance of IT [SOURCE: ISO/
IEC TS 38501:2015, Figure 1]
Table 1 identifies key aspects related to the implementation of governance of IT, as described in ISO/
IEC TS 38501, that shall be considered when defining the scope of the assessment.
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Table 1 — Key aspects for consideration in the assessment of the governance of IT
Establish and sustain enabling environment
— goals and objectives of governance of IT
— understanding of stakeholders, roles and responsibilities
— stakeholder engagement
— delegation of authority
Govern IT
— application of the six principles and EDM Model
— governance steering group
— internal and external environment
— articulation of current and desired states and beneficial outcomes
— monitoring capability and identification of evidence of success
— change programme
Continual review
— improvement in value derived from IT
— management of risks associated with IT
— additional governance actions required
5.2 Assessment approach and involved parties
In establishing an assessment approach, consideration shall be given to the objectives/purpose of the
assessment, degree of independence required for the assessment, the skills/knowledge of the assessors
and participants and other relevant considerations dependent on the specific arrangements for the
governance of IT within the organization.
The assessment approach shall be approved by the governing body. It shall be supported with the details
of the assessment framework, an assessment plan, roles and responsibilities of assessors, timing of the
assessment, resources necessary for the assessment and an understanding of the skills and knowledge
of the assessors.
There are different approaches to the assessment of the governance of IT. The assessment approaches
and the key considerations are summarized in Table 2.
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Table 2 — Assessment approach and key considerations
Internally facilitated
Governing body assess- Externally facilitated
ment assessment
assessment
Description Assessment of governance Assessment of governance of Assessment of governance
of IT performed by the IT performed by approved, of IT performed by approved
governing body; this can skilled and knowledgea- skilled and knowledgea-
be considered similar to a ble internal resources or ble external resources or
self-assessment. assessors to support the assessors to support the
assessment. assessment.
Objective/ Purpose — high-level self- — detailed internal — detailed independent
assessment assessment external assessment
— enables the governing — provides the governing — provides the governing
body to monitor its own body with an internal body with an external
performance in respect perspective on the perspective on the
to the governance of IT extent to which extent to which
it is meeting its it is meeting its
responsibilities responsibilities
in respect of the in respect of the
governance of IT governance of IT
Benefits — speed/ease — broader involvement — greater objectivity
(executive
— no dependency on — ability to support
management)
assessors (internal or external reporting
external) — greater level of requirements
information considered
Participants — governing body — governing body — governing body
— executive management — executive management
— business and technical — business and technical
experts experts
Assessor — member of the — internal assessor/s — external independent
governing body assessor/s
Success factors — the governing body — the governing body — the governing body
shall be committed to shall be committed to shall be committed to
performing the self- supporting the internal supporting the external
assessment and acting assessment and acting assessment and acting
on its conclusions on its conclusions on its conclusions
— the internal resource
has the necessary
authority to assess the
governing body
5.3 Roles, responsibilities and competencies
5.3.1 Roles associated with the assessment of the governance of IT
The following are the important roles within the context of the assessment of the governance of IT. A
full description is provided for each role in the following subclauses:
— governing body (see 5.3.2);
— sponsor (see 5.3.3);
— executive management (see 5.3.4);
— assessment expert (assessor) (see 5.3.5);
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— business expert (see 5.3.6);
— technical expert (see 5.3.7).
5.3.2 Governing body
The governing body is a key role in the assessment. It provides the overall direction to the assessment
and ensures that the assessment adds value to the overall governance objective. In the event of the
governing body performing the assessment itself, there are additional responsibilities and skills/
knowledge requirements. These are shown in Table 3.
Table 3 — Responsibilities and skills/knowledge of the governing body
Responsibilities Skills/Knowledge
— Overall: — Overall:
— establish the key objectives of the assessment; — should have a basic awareness of ISO/
IEC 38500, ISO/IEC TS 38501 and ISO/
— approve the assessment scope and approach;
IEC TR 38502;
— enable executive management to achieve the
— shall understand the internal and external
key objectives of the assessment;
context within which the organization
operates.
— evaluate whether the assessment provides the
— Governing body assessment:
desired deliverables as per the key objectives;
— members of the governing body participating
— ensure that the assessment adds value to the
as an assessor in the governing body
overall governance objectives; approve/reject
assessment shall have the skills and
the formal assessment report submitted by the
knowledge required to conduct the governing
sponsor.
body assessment, where required.
— Governing body assessment:
— the overall responsibilities described above
are still applicable;
— if there is a gap in competencies for
performing the assessment, nominate the
relevant members to acquire the competencies
for performing the assessment;
— manage the operational aspects of the
assessment and the production of the report.
5.3.3 Sponsor
The sponsor is a member of the governing body. The sponsor ensures that the scope of assessment
is finalized and the resources required for conducting the assessment are available. The sponsor’s
responsibilities and skills/knowledge requirements are shown in Table 4.
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Table 4 — Responsibilities and skills/knowledge of the sponsor
Responsibilities Skills/Knowledge
— finalize and approve the plan for the assessment; — should have a basic awareness of ISO/IEC 38500,
ISO/IEC TS 38501 and ISO/IEC TR 38502;
— ensure that the resources required for conducting
the assessment are available; — shall understand the internal and external
context within which the organization operates.
— ensure that the assessor has access to business
and technical experts required during the
assessment;
— review of final report and submission to
governing body.
5.3.4 Executive management
Executive management follows the directives of the governing body as regards the assessment and
provides the assessor with the required assessment data and support. The executive management’s
responsibilities and skills/knowledge requirements are shown in Table 5.
Table 5 — Responsibilities and kills/knowledge of the executive management
Responsibilities Skill/Knowledge
— work towards achieving the key objectives of the — should have basic awareness of ISO/IEC 38500,
assessment; ISO/IEC TS 38501 and ISO/IEC TR 38502;
— review the assessment plan as prepared by the — shall understand the internal and external
assessor, where required; context within which the organization operates;
— provide the assessor with the required — should build trust and personal accountability
assessment data and access to business and among all participating roles.
technical experts;
— review the accuracy and completeness of the
assessment report;
— manage communication between the governing
body and downstream stakeholders.
5.3.5 Assessment expert (assessor)
The assessment expert (assessor) is the individual or group of individuals who perform the actual
assessment. The assessor’s responsibilities and skills/knowledge requirements are shown in Table 6.
Table 6 — Responsibilities and skills/knowledge of the assessment expert (assessor)
Responsibilities Skills/Knowledge
— understand and document the objectives for the — shall have a good knowledge of ISO/IEC 38500,
assessment; ISO/IEC TS 38501 and ISO/IEC TR 38502 and the
assessment framework;
— verify that the assessment approach is approved;
— shall understand the governance of IT
— verify that the assessment scope is properly
arrangements within the organization and the
established before the start of assessment;
various roles and their contributions;
— prepare the assessment plan and conduct the
— shall have good knowledge of assessment
activities as per the assessment plan;
standards and best practices and shall have
experience enabling them to apply the same
— prepare and submit the assessment report.
towards assessment.
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5.3.6 Business expert
The business expert is the individual or group of individuals who constitute the internal resource
providing the necessary business data required to perform the actual assessment. The business
expert’s responsibilities and skills/knowledge requirements are shown in Table 7.
Table 7 — Responsibilities and skills/knowledge of the business expert
Responsibilities Skills/Knowledge
— understand the scope and objective of the — should have basic knowledge of the business
assessment; benefits of ISO/IEC 38500, ISO/IEC TS 38501 and
ISO/IEC TR 38502;
— provide business domain expertise required
during the assessment. —
...
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