信息技术投资管理（PDF172）(1)

May2000Version1GAO/AIMD-10.1.23INFORMATIONTECHNOLOGYINVESTMENTMANAGEMENTAFrameworkforAssessingandImprovingProcessMaturityExposureDraftAccountingandInformationManagementDivisionUnitedStatesGeneralAccountingOfficeGAOPageiGAO/AIMD-10.1.23(Version1)ContentsPreface1Section1:Introduction3AMaturityFrameworkOffersBenefitsforRefiningtheITInvestmentApproach5Section2:OverviewofITIM7TheITIMMaturityStages7ITIMStage1:CreatingInvestmentAwareness7ITIMStage2:BuildingtheInvestmentFoundation8ITIMStage3:DevelopingaCompleteInvestmentPortfolio9ITIMStage4:ImprovingtheInvestmentProcess9ITIMStage5:LeveragingInformationTechnologyforStrategicOutcomes10ProgressingThroughtheITIMStagesofMaturity10MovingFromStage1toStage210MovingFromStage2toStage311MovingFromStage3toStage412MovingFromStage4toStage512Section3:ComponentsofITIM13ITIMHierarchy13MaturityStages13CriticalProcesses13CoreElements13KeyPractices13PrinciplesGuidingtheUseandInterpretationofITIM14Section4:UsesOfITIM17ITIMasaToolforOrganizationalImprovement17ITIMasaToolforAssessingtheMaturityofanOrganization18LimitationsandBoundariesofITIM19Section5:CriticalProcessesForTheITIMStages21ITIMStage1:CreatingInvestmentAwareness22SelectionProcess22ControlProcess23PageiiGAO/AIMD-10.1.23ITIMFramework(Version1)iiEvaluationProcess23ITIMStage2:BuildingtheInvestmentFoundation25ITInvestmentBoardOperation28ITProjectOversight36ITAssetTracking46BusinessNeedsIdentificationforITProjects52ProposalSelection60ITIMStage3:DevelopingaCompleteInvestmentPortfolio65AuthorityAlignmentofITInvestmentBoards68PortfolioSelectionCriteriaDefinition74InvestmentAnalysis80PortfolioDevelopment86PortfolioPerformanceOversight94ITIMStage4:ImprovingtheInvestmentProcess101Post-ImplementationReviewsandFeedback104PortfolioPerformanceEvaluationandImprovement112SystemsandTechnologySuccessionManagement118ITIMStage5:LeveragingInformationTechnologyforStrategicOutcomes125InvestmentProcessBenchmarking128IT-DrivenStrategicBusinessChange134AppendixesAppendixI:DevelopmentOfITIM139AppendixII:Glossary141AppendixIII:GuidanceForConductingAnITIMAssessment149Phase1:PrepareforAssessment151Phase2:CollectEvidence154Phase3:DetermineRatingsandFinishAssessment160Figure1:FundamentalPhasesoftheITInvestmentApproach3Figure2.1:TheFiveStagesofMaturityWithinITIM7Figure2.2:ITIMStagesofMaturityandCriticalMaturationSteps10Figure3.1:TheComponentsofanITIMCriticalProcess14Figure3.2:CriticalProcessesAreTypicallyIntroducedataLowerStageBeforeReachingFullImplementation15Figure5.1:TheITIMStagesofMaturityWithCriticalProcesses21Figure5.2:ITInvestmentBoardOperation29Figure5.3:ITProjectOversight37Figure5.4:ITAssetTracking47Figure5.5:BusinessNeedsIdentificationforITProjects53Figure5.6:ProposalSelection61Figure5.7:AuthorityAlignmentofITInvestmentBoards69FiguresPageiiiGAO/AIMD-10.1.23ITIMFramework(Version1)iiiFigure5.8:PortfolioSelectionCriteriaDefinition75Figure5.9:InvestmentAnalysis81Figure5.10:PortfolioDevelopment87Figure5.11:PortfolioPerformanceOversight95Figure5.12:Post-ImplementationReviewsandFeedback105Figure5.13:PortfolioPerformanceEvaluationandImprovement113Figure5.14:SystemsandTechnologySuccessionManagement119Figure5.15:InvestmentProcessBenchmarking129Figure5.16:IT-DrivenStrategicBusinessChange135FigureIII.1:PhasesinanITIMAssessment151AbbreviationsBPIbusinessprocessimprovementCBSRcosts,benefits,schedule,andrisksCCAClinger-CohenActof1996CIOChiefInformationOfficerCFOChiefFinancialOfficerCMMCapabilityMaturityModelEOExecutiveOrderFASATheFederalAcquisitionStreamliningActof1994GPRAGovernmentPerformanceandResultsActof1993ITinformationtechnologyITIMITInvestmentManagementO&MoperationandmaintenanceOMBOfficeofManagementandBudgetPIRpost-implementationreviewPRAPaperworkReductionActR&DresearchanddevelopmentROIreturn-on-investmentSEISoftwareEngineeringInstituteSIMstrategicinformationmanagementWWWWorldWideWebGAO/AIMD-10.1.23ITIMFramework(Version1)Page1GAO/AIMD-10.1.23ITIMFramework(Version1)Ifmanagedwisely,investmentsininformationtechnology(IT)canenrichpeople’slivesandimproveorganizationalperformance.Forexample,duringthelastdecadetheInternethasmaturedfrombeingatechnicalnoveltytoanationalresourcewherecitizenscanvisittheLibraryofCongressorfiletheirtaxreturns.Someorganizationshaverealizedsubstantialimprovementsinprocessingdataandinformationbyswitchingfromcentralizedmainframecomputingtodecentralizedpersonalcomputerslinkedbylocalareanetworks.Theabilityofsoftwareapplicationstolocateandcorrelaterelevantdatainadatawarehousepermitsorganizationstodiscoverunknownfiscalorphysicalresourcerelationshipsandthusprovideappropriateassistancewheretherehadbeennone.However,alongwiththepotentialtoimprovelivesandorganizations,ITprojectscanbecomerisky,costly,unproductivemistakes.Aswehavedescribedinnumerousreportsandtestimonies,federalITprojectstoofrequentlyincurcostoverrunsandscheduleslippageswhilecontributinglittletomission-relatedoutcomes.TheClinger-CohenActof19961wasenactedtoaddressmanyoftheproblemsrelatedtofederalITmanagement.ItrequiresfederalagenciestofocusmoreontheresultsachievedthroughITinvestmentswhil