The Status of Enterprise Architecture and Information Technology
Investment Management in the Department of Justice

Audit Report 06-02
November 2005
Office of the Inspector General


Appendix 7

The Three Components of the ITIM Process


Select Phase

In the Select phase of the capital planning and investment control process, A-130 requires agencies to:

  • determine whether the investment will support core mission functions;

  • demonstrate a projected return on investment that is clearly equal
    to or better than alternative uses of available public resources;

  • prepare and update a benefit-cost analysis for each information system through its life cycle;

  • prepare and maintain a portfolio of major information systems;

  • ensure consistency with federal, agency, and bureau Enterprise Architectures;

  • ensure investments are not duplicative; and

  • establish oversight mechanisms to ensure the continuing security,
    interoperability, and availability of systems and data.

Control Phase

In the Control phase of the capital planning and investment control process, A-130 requires agencies to:

  • institute performance measures and management processes that monitor actual performance compared to expected results;

  • establish oversight mechanisms to determine whether information systems continue to fulfill ongoing and anticipated mission requirements;

  • ensure that information systems meet established milestones, deliver intended benefits, meet user requirements, and identify and offer security protections;

  • prepare and update a strategy that identifies and mitigates risks associated with each information system; and

  • ensure that agency Enterprise Architecture procedures are followed.

Evaluate Phase

In the Evaluate phase of the capital planning and investment control process, A-130 requires agencies to:

  • conduct post-implementation reviews of information systems and information resource management processes to validate estimated benefits and costs and document effective management practices for broader use;

  • evaluate systems to ensure positive return on investment and decide whether continuation, modification, or termination of the systems is necessary to meet agency mission requirements;

  • document lessons learned from the post-implementation reviews, and redesign oversight mechanisms and performance levels to incorporate acquired knowledge;

  • re-assess an investment's business case, technical compliance, and compliance against the Enterprise Architecture; and

  • update the Enterprise Architecture and IT capital planning processes as needed.



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