Homeland Security
DHS Enterprise Architecture Continues to Evolve but Improvements Needed Gao ID: GAO-07-564 May 9, 2007GAO designated the transformation of the Department of Homeland Security (DHS) as high risk in 2003, and it continues to do so today. One essential tool for facilitating organizational transformation is an enterprise architecture (EA)--a corporate blueprint that serves as an authoritative frame of reference for information technology investment decision making. The Congress required DHS to submit a report that includes its EA and a capital investment plan for implementing it. The Congress also required that GAO review the report. In June 2006, DHS submitted this report to the Congress. GAO's objective was to assess the status of the EA, referred to as DHS EA 2006, and the plan for implementing it. To meet this objective, GAO analyzed architectural documents relative to its prior recommendations; evaluated stakeholder comments and the process used to obtain them; and analyzed the implementation plan against relevant guidance.
DHS EA 2006 has evolved beyond prior versions, but missing architecture content and limited stakeholder input constrain its usability. While the architecture partially addresses each of the prior GAO recommendations concerning the content of DHS's architecture, the full depth and breadth of EA content that the recommendations solicited is still missing. For example, GAO recommended that DHS use, among other things, an analysis of the gaps between the current ("as-is") and future ("to-be") states of the architecture to define missing and needed capabilities and form the basis for its transition plan. However, DHS EA 2006 does not include a transition plan and it does not include any evidence of a gap analysis. In addition, department stakeholders, including component organizations and the department's EA support contractor, provided a range of comments relative to the completeness, internal consistency, and understandability of a draft of DHS EA 2006, but the majority of the comments were not addressed. Moreover, key stakeholders, such as the Coast Guard and the Transportation Security Administration, did not comment on the draft. GAO found that the extent of stakeholder participation was limited because the approach EA officials used to solicit input did not clearly define the type of information being requested and did not provide sufficient time for responding. Furthermore, DHS's capital investment plan for implementing its architecture is not based on a transition plan and is missing key information technology (IT) investments. Thus, the plan does not provide a comprehensive roadmap for transitioning the department to a target architectural state. Also, the plan does not account for all of DHS's planned investments in IT (excluding about $2.5 billion in planned IT investments). Without an architecture that is complete, internally consistent, and understandable, the usability of the DHS's EA is diminished, which in turn limits the department's ability to guide and constrain IT investments in a way that promotes interoperability, reduces overlap and duplication, and optimizes overall mission performance.
RecommendationsOur recommendations from this work are listed below with a Contact for more information. Status will change from "In process" to "Open," "Closed - implemented," or "Closed - not implemented" based on our follow up work.
Director: Team: Phone:GAO-07-564, Homeland Security: DHS Enterprise Architecture Continues to Evolve but Improvements Needed
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Report to Congressional Committees:
United States Government Accountability Office:
GAO:
May 2007:
Homeland Security:
DHS Enterprise Architecture Continues to Evolve but Improvements
Needed:
GAO-07-564:
Contents:
Letter:
DHS EA 2006 Has Evolved beyond Prior Versions, but Missing Architecture
Content and Limited Stakeholder Input Constrain Its Usability:
Conclusions:
Recommendations for Executive Action:
Agency Comments and Our Evaluation:
Appendix I: Briefing to the Staffs of the Subcommittees on Homeland
Security Senate and House Committees on Appropriations:
Appendix II: Comments from the Department of Homeland Security:
Appendix III: GAO Contact and Staff Acknowledgments:
Abbreviations:
CBP: Customs and Border Protection:
CIO: chief information officer:
CURE: create, update, reference, and eliminate:
DHS: Department of Homeland Security:
EA: enterprise architecture:
EAMMF: Enterprise Architecture Management Maturity Framework:
FEMA: Federal Emergency Management Agency:
ICE: Immigration and Customs Enforcement:
IT: information technology:
OMB: Office of Management and Budget:
TRM: technical reference model:
TSA: Transportation Security Administration:
US-VISIT: United States Visitor and Immigrant Status Indicator
Technology:
USSS: United States Secret Service:
United States Government Accountability Office:
Washington, DC 20548:
May 9, 2007:
The Honorable Robert C. Byrd:
Chairman:
The Honorable Thad Cochran:
Ranking Minority Member:
Subcommittee on Homeland Security:
Committee on Appropriations:
United States Senate:
The Honorable David E. Price:
Chairman:
The Honorable Harold Rogers:
Ranking Minority Member:
Subcommittee on Homeland Security:
Committee on Appropriations:
House of Representatives:
Information technology (IT) is a critical tool in the Department of
Homeland Security's (DHS) quest to transform 22 diverse and distinct
agencies into one cohesive, high-performing department. Because of the
importance of this transformation and the magnitude of the associated
challenges, we designated the department's implementation and
transformation as a high-risk undertaking in 2003.[Footnote 1] In 2003
and in 2004, we reported that DHS needed to, among other things,
develop and implement an enterprise architecture (EA)--a corporate
blueprint that serves as an authoritative frame of reference to guide
and constrain IT investment decision making, promoting
interoperability, minimizing wasteful duplication and redundancy, and
optimizing departmentwide mission performance.[Footnote 2]
Recognizing the importance that an EA plays in effectively leveraging
IT for organizational transformation, DHS issued an initial version of
its architecture in September 2003. Following our review of this EA and
recommendations for its improvement,[Footnote 3] the department issued
a second version in October 2004. The DHS Appropriations Act of 2006
required the department's chief information officer (CIO) to submit to
Congress a report that includes, among other things, an EA and a
capital investment plan for implementing the architecture.[Footnote 4]
It also required GAO to review the report. On June 16, 2006, the CIO
submitted its report, which included the third version of the
department's EA and a plan for implementing it, which DHS referred to
as DHS EA 2006 and Capital Investment Plan for Implementing the DHS
Enterprise Architecture.
Our objective was to assess the status of DHS EA 2006, including the
capital investment plan for implementing it. On February 28, 2007, we
briefed your staffs on the results of our review, which included
sensitive information. This report transmits the slides from that
briefing, with sensitive information removed. These slides, along with
our scope and methodology, are included as appendix I.
DHS EA 2006 Has Evolved beyond Prior Versions, but Missing Architecture
Content and Limited Stakeholder Input Constrain Its Usability:
DHS EA 2006 partially addresses the content shortcomings in earlier
versions of the department's architecture, which we had reported on and
made recommendations to correct. However, the full depth and breadth of
EA content that our 41 recommendations provided for is not reflected in
DHS EA 2006. For example, we recommended that the architecture include
a data dictionary, which is a repository of standard definitions of key
terms. In response, DHS EA 2006 provides a data dictionary, but it does
not include definitions of all key terms (e.g., first responder). We
also recommended that DHS base its EA transition plan on, among other
things, an analysis of the gaps between the current ("as-is") and
future ("to-be") states of the architecture to define missing and
needed capabilities.[Footnote 5] However, DHS EA 2006 does not include
a transition plan, and it does not include any evidence of a gap
analysis--a comparison of the "as-is" and "to-be" architectures to
identify capability differences.
Moreover, this version of the architecture does not address the
majority of the 383 comments made on a draft of it by DHS stakeholders,
including component organizations and the department's EA support
contractor. For example, Immigration and Customs Enforcement commented
that the inputs it provided had not been incorporated, represented, or
otherwise accommodated in any way. Of the comments, 139 were
categorized as fully addressed, 27 as partially addressed, 101 as not
addressed but to be resolved in a later EA version. The remaining 116
had no resolutions specified. In general, comments were raised about
the architecture's completeness, internal consistency, and
understandability. In addition, concerns were raised about the
architecture's usability as a departmental frame of reference for
informing IT investment decisions.
In addition, the approach DHS used in soliciting comments did not
clearly define the type of information requested and did not provide
sufficient time for detailed responses. Also, the extent to which
comments were obtained was limited. For example, key stakeholders, such
as the Coast Guard and Transportation Security Administration, chose to
not comment on a draft of DHS EA 2006.
Lastly, DHS's capital investment plan for implementing its architecture
is not based on an EA transition plan and is missing key IT
investments. For example, the plan does not account for all of DHS's
planned investments in IT nor does it include information on certain
major IT capital investments.
Conclusions:
DHS's approach to developing its EA through incremental releases or
versions is reasonable, given the size and complexity of the department
and the volumes of information needed to produce a complete,
understandable, and usable architecture. As the department's third
version of its EA, DHS EA 2006 is an improvement over prior versions,
as evidenced by it at least partially addressing our prior
recommendations. Moreover, DHS EA 2006 is partially responsive to
stakeholder comments on a draft of it.
Nevertheless, DHS EA 2006 is still not sufficiently complete and
usable, given those aspects of our recommendations that it did not
fully address the range of stakeholder comments that have not been
resolved and the limitations of the capital investment plan. Given the
critical role that DHS's EA should play in the department's
transformation efforts, which we have identified as a high-risk
undertaking, it is important for DHS to fully address both our existing
recommendations and stakeholder comments on incremental versions of its
architecture.
Finally, with regard to stakeholder comments, it is also important for
DHS to ensure that it devotes sufficient time and adopts an effective
approach to obtaining stakeholder comments on future versions. If it
does not, the chances of developing a well-defined EA that is accepted
and usable will be diminished.
Recommendations for Executive Action:
To ensure that DHS fully implements our prior EA recommendations and
effectively solicits and addresses stakeholder comments on incremental
versions of its EA, we recommend that the Secretary of Homeland
Security direct the department's CIO to take the following two actions:
* Include in future versions of the department's EA a traceability
matrix that explicitly maps EA content to our recommendations in
sufficient detail to demonstrate their implementation, and:
* Ensure that future efforts to solicit stakeholder comments on the
department's EA employ an effective approach that includes clearly
defining the type of information requested and allowing sufficient time
for obtaining and responding to these comments.
We are not making recommendations for addressing limitations in the
department's capital investment plan for implementing its EA because
our existing recommendations for an EA transition plan address such
limitations.
Agency Comments and Our Evaluation:
In DHS's written comments on a draft of this report, signed by the
Director, Departmental GAO/OIG Liaison Office, and reprinted in
appendix II, the department stated that the fourth release of its EA
(referred to as HLS EA 2007) addresses many of the issues that our
report identifies. In addition, DHS agreed to include in future EA
releases a traceability matrix that explicitly maps its EA content to
our recommendations, adding that this recommended tool will allow DHS
to better track progress.
However, DHS commented that its current approach to soliciting
architecture stakeholders' input is adequate, noting that this approach
provides stakeholders with unlimited opportunity to comment and
observing that its receipt of nearly 400 comments on DHS EA 2006
demonstrates this opportunity. Moreover, the department stated that we
had an incorrect perception of how it treated stakeholder comments,
adding that all comments that require resolution will be addressed in
future EA releases.
We do not agree with DHS's comments about the adequacy of its approach
to obtaining and incorporating stakeholder comments for several
reasons, each of which are cited in our report. For example, the
approach did not adequately define the type and nature of the comments
being solicited, and it did not provide sufficient time for
stakeholders to comment, as evidenced by some stakeholders stating that
the time was too limited. Also, most DHS component organizations,
including large ones like the Transportation Security Agency and the
Coast Guard, did not provide comments. Moreover, about 60 percent of
the comments that were received on DHS EA 2006 were not to be addressed
in the next version (HLS EA 2007), and it was not specified when they
would be addressed. Given that comments were directed at the
architecture's completeness, internal consistency, understandability,
and usability, which are all fundamental characteristics of an EA, we
believe that our recommendation aimed at employing a more effective
approach to soliciting and responding to comments is warranted.
We are sending copies of this report to the Chairmen and Ranking
Minority Members of other Senate and House committees that have
authorization and oversight responsibilities for homeland security. We
are also sending a copy of this report to the Secretary of Homeland
Security and the Director of OMB. We will also make copies available to
others upon request. In addition, this report will be available at no
charge on the GAO Web site at http://www.gao.gov.
If you or your staffs have any questions about this report, please
contact me at (202) 512-3439 or hiter@gao.gov. Contact points for our
Offices of Congressional Relations and Public Affairs may be found on
the last page of this report. GAO staff members who made major
contributions to this report are listed in appendix III.
Signed by:
Randolph C. Hite:
Director, Information Technology Architecture and Systems Issues:
[End of section]
Appendix I: Briefing to the Staffs of the Subcommittees on Homeland
Security Senate and House Committees on Appropriations:
Homeland Security: DHS Enterprise Architecture Continues to Evolve but
Improvements Needed:
Briefing to the Staffs of the Subcommittees on Homeland Security Senate
and House Committees on Appropriations:
February 28, 2007:
Table Of Contents:
Introduction:
Objective, Scope, and Methodology:
Results in Brief:
Background:
Results:
Conclusions:
Recommendations:
Agency Comments:
Attachment 1: DHS EA 2006 Structure:
Attachment 2: Previous GAO Recommendations on DHS Enterprise
Architecture:
Introduction:
Information technology (IT) is a critical tool in the Department of
Homeland Security's (DHS) quest to transform 22 diverse and distinct
agencies into one cohesive, high-performing department. In light of the
importance of this transformation and the magnitude of the associated
challenges, in 2003 we designated the department's implementation and
transformation as a high-risk undertaking.[Footnote 6]
In 2003 and in 2004, we reported that DHS needed to, among other
things, develop and implement an enterprise architecture (EA)-a
corporate blueprint-as an authoritative frame of reference to guide and
constrain IT investment decision-making in a way that promoted
interoperability, minimized wasteful duplication and redundancy, and
optimized departmentwide mission performance.[Footnote 7]
Recognizing the importance that an EA plays in effectively leveraging
IT for organizational transformation, DHS issued an initial version of
its architecture in September 2003. Following our review and
recommendations for improvement of this version,[Footnote 8] the
department issued a second version in October 2004.
The DHS Appropriations Act of 2006 required the department's chief
information officer (CIO) to submit to Congress a report that includes,
among other things, an EA and a capital investment plan for
implementing the architecture. It also required GAO to review the
report.[Footnote 9] On June 16, 2006, the CIO submitted its report,
which included the third version of the department's EA and a plan for
implementing it, which DHS referred to as DHS EA 2006 and Capital
Investment Plan for Implementing the DHS EA.
Objective, Scope, And Methodology:
As agreed with staff for the Chairmen and Ranking Minority Members of
the House and Senate Appropriations Committees' respective homeland
security subcommittees, our objective was to assess the status of DHS
EA 2006, including the capital investment plan for implementing it.
In order to meet this objective, we:
analyzed DHS EA 2006 and supporting documentation against our 41 prior
recommendations regarding DHS EA content;
evaluated the nature, substance, and disposition of stakeholder
comments, including documentation produced by DHS's EA support
contractor on DHS EA 2006;
assessed DHS's process for soliciting stakeholder comments relative to
applicable survey and data collection practices; analyzed DHS's capital
investment plan against relevant guidance, including Office of
Management and Budget's (OMB) capital planning guidance and applicable
EA guidance; and:
interviewed DHS and contractor officials about their efforts to address
our recommendations and resolve stakeholder comments, process for
soliciting and responding to stakeholder comments, and basis for the
capital investment plan.
We conducted our work at DHS and contractor facilities in the
Washington, D.C., metropolitan area from June 2006 to February 2007 in
accordance with generally accepted government auditing standards. For
DHS data that we did not substantiate, we made appropriate attribution
indicating the data source.
RESULTS IN BRIEF:
DHS EA 2006 has evolved beyond prior versions, but missing architecture
content and limited stakeholder input constrain its usability. While
the architecture partially addresses prior GAO recommendations and
stakeholder comments, the full depth and breadth of EA content that our
recommendations provided for is still missing. Additionally, the
majority of stakeholder comments, including concerns about architecture
completeness, consistency, and understanding remain to be addressed.
Stakeholder commentary on draft DHS EA 2006 products was limited by the
approach used to solicit comments and the extent to which stakeholders
provided comments. Further, DHS's capital investment plan for
implementing its architecture is not based on an EA transition plan and
is missing key IT investments. Without an EA that is complete,
internally consistent, and understandable, DHS's ability to guide and
constrain IT investments in a way that promotes interoperability,
reduces overlap and duplication, and optimizes mission performance will
be significantly diminished.
We are making recommendations to ensure that DHS fully implements our
prior EA recommendations and effectively solicits stakeholder comments
on future versions of its EA.
In commenting on a draft of this briefing, DHS officials, including the
DHS Chief Information Officer (CIO) and the Chief Architect,
acknowledged that DHS EA 2006 is missing important content and stated
that future versions will add content and improve usability.
Additionally, the Chief Architect generally agreed with our
recommendations for mapping our prior recommendations to specific EA
content and for effectively soliciting stakeholder comments on future
EA versions.
Background:
Created in March 2003, DHS has assumed operational control of about
209,000 civilian and military positions from 22 agencies and offices
that specialize in one or more aspects of homeland security.[Footnote
10] A major purpose of DHS's establishment was to improve coordination,
communication, and information sharing among the multiple federal
agencies responsible for protecting the homeland.
As we previously reported, the creation of DHS[Footnote 11] is
critically important and poses significant management and leadership
challenges. For these reasons, we designated the implementation of the
department and its transformation as high risk; we also pointed out
that failure to effectively address DHS's management challenges and
program risks could have serious consequences for our national
security.
Mission and Organization:
DHS's mission is to lead the unified national effort to secure the
United States by preventing and deterring terrorist attacks and
protecting against and responding to national threats. Among other
things, DHS is charged with ensuring safe and secure borders, and
promoting the free flow of commerce.
To accomplish its mission, DHS is organized into various components,
each of which is responsible for specific homeland security missions
and for coordinating related efforts with its sibling components as
well as with external entities. Table 1 shows DHS's principal
organizations and their missions. Figure 1 shows a simplified view of
the DHS organizational structure.
Table 1: Principal DHS Organizations and Their Missions:
Principal organizations[A]: Citizenship and Immigration Services;
Missions: Administers immigration and naturalization adjudication
functions and establishes immigration services policies and priorities.
Principal organizations[A]: Coast Guard;
Missions: Protects the public, the environment, and U.S. economic
interests in the nation's ports and waterways, along the coast, on
international waters, and in any maritime region as required to support
national security.
Principal organizations[A]: Customs and Border Protection (CBP);
Missions: Protects the nation's borders in order to prevent terrorists
and terrorist weapons from entering the United States, while
facilitating the flow of legitimate trade and travel.
Principal organizations[A]: Federal Emergency Management Agency;
Missions: Prepares the nation for hazards, manages federal response and
recovery efforts following any national incident, and administers the
(FEMA) National Flood Insurance Program.
Principal organizations[A]: Immigration and Customs Enforcement (ICE);
Missions: Identifies and addresses vulnerabilities in the nation's
border, economic, transportation, and infrastructure security.
Principal organizations[A]: Management Directorate;
Missions: Manages department budgets and appropriations, expenditure of
funds, accounting and finance, procurement, human resources, IT
systems, facilities and equipment, and performance measurements.
Principal organizations[A]: Preparedness Directorate;
Missions: Works with state, local, and private sector partners to
identify threats, determine vulnerabilities, and target resources where
risk is greatest, thereby safeguarding borders, seaports, bridges and
highways, and critical information systems.
Principal organizations[A]: Science and Technology Directorate;
Missions: Serves as the primary research and development arm of the
department, responsible for providing federal, state, and local
officials with the technology to protect the homeland.
Principal organizations[A]: Secret Service (USSS);
Missions: Protects the President and other high-level officials and
investigates counterfeiting and other financial crimes (including
financial institution fraud, identity theft, and computer fraud) and
computer-based attacks on the nation's financial, banking, and
telecommunications infrastructure.
Principal organizations[A]: Transportation Security Administration
(TSA);
Missions: Protects the nation's transportation systems to ensure
freedom of movement for people and commerce.
Principal organizations[A]: U.S. Visitor and Immigrations Status
Indicator Technology (US-VISIT;
Missions: Develops and implements a governmentwide program to record
the entry into and exit from the United States of selected individuals,
verify their identity, and confirm their compliance with the terms of
their admission into and stay in this country.
Source: GAO analysis based on DHS data.
[A] Does not show all the organizations under each of the directorates
or all organizations that report directly to the DHS Secretary and
Deputy Secretary.
[End of table]
Figure 1: Simplified and Partial DHS Organizational Structure:
[See PDF for image]
Source: GAO analysis based on DHS data.
[End of figure]
EA: A Brief Description:
An EA provides systematic structural descriptions-in useful models,
diagrams, tables, and narrative-of how an entity currently operates
(the "as-is" architecture) and how it plans to operate in the future
(the "to-be" architecture), and it includes a plan for making that
transition (the transition plan). In the federal arena, the transition
plan provides the basis for informed capital investment planning.
Agency capital investment plans are the basis for budget exhibits that
are submitted annually to the OMB. Those plans identify, among other
things, ongoing and planned IT investments.
Our experience with federal agencies has shown that investing in IT
programs without having an EA to guide the process often results in
systems that are duplicative, not well integrated, unnecessarily costly
to maintain, and limited in terms of meeting mission needs and
optimizing mission performance.[Footnote 12]
GAO EA Guidance:
To assist DHS and other federal agencies in effectively developing,
maintaining, and implementing an enterprise architecture, we published
a framework for architecture management that is grounded in federal
guidance and recognized best practices.[Footnote 13] The framework is a
five-stage maturity framework that outlines 31 practices that
contribute to effective architecture management.
In addition, we published a set of architecture content criteria that
define the attributes of well-defined EA artifacts. These criteria are
associated with the major components of the current and target
architectures, namely the business, performance, information/data,
services/applications, technical, and security descriptions, as well as
the sequencing plan for transitioning from the current to the target
architectures.[Footnote 14]
DHS EA Players:
The DHS Office of the CIO has primary responsibility for departmentwide
IT. According to the CIO, this includes among other things, developing
and facilitating the implementation of the department's EA. To satisfy
this responsibility, the CIO established various entities with specific
roles and responsibilities. (See table 2 below.)
Table 2: DHS EA Players:
Player: Enterprise Architecture Board (EAB);
Roles and responsibilities: Evaluates and approves IT investments for
EA alignment and ensures that the EA is updated and maintained. Chair
is the DHS CIO; Vice-Chair is the DHS Deputy CIO. Members include Chief
Financial Officer Designee, Chief Procurement Officer Designee,
Designated CIO's from DHS Directorates/Components, and a Business
Process Support Group Designee.
Player: Enterprise Architecture Center of Excellence (EACOE);
Roles and responsibilities: Reviews the information provided by the
Submitter and provides recommendations to the EAB. Members include
representatives from the components and departmental specialists.
Player: Chief Architect;
Roles and responsibilities: Serves as the EA program manager and is
responsible for developing the EA and associated processes.
Player: Submitter;
Roles and responsibilities: Initiates a request to the EACOE and EAB
for a decision about a particular IT investment. Represents a DHS
component, focus group, or other DHS stakeholder:
Player: Reviewer;
Roles and responsibilities: Provides the research, supporting analysis,
and to support the EACOE and EAB decision process.
Player: EA team;
Roles and responsibilities: Supports DHS Chief Architect in developing
and managing the EA.
Player: Facilitator team;
Roles and responsibilities: Supports, manages, and facilitates the
EACOE.
Source: GAO analysis of DHS data.
[End of table]
Additionally, major stakeholders consisting of DHS component
organizations (e.g., CBP and FEMA), internal stakeholders (e.g., Chief
Information Security Office and the Wireless Management Office), and
the department's EA support contractor are asked to support development
of the architecture by providing input and responding to solicitations
for comments on draft versions.
History of DHS EA Versions:
In September 2003, DHS issued the first version of its EA, called HLS
EA (Homeland Security Enterprise Architecture). In October 2004, it
issued the second version, known as EA version 2.
Subsequently, DHS decided to issue annual architecture updates. The
first of these, DHS EA 2006, was issued in February 2006, and was
included in the DHS CIO's June 2006 report to the Congress as mandated
by the DHS Appropriations Act of 2006. According to DHS, this version
was to create a better frame of reference to support departmental
planning for the "to-be" environment, and to better coordinate cross-
departmental initiatives. The department reports that the focus of DHS
EA 2007 will be on issuing an enterprisewide transition plan and
improving the target architecture.
Summary of DHS EA 2006:
DHS EA 2006 is organized as follows:
Overview Documents:
Business Architecture:
Data/Information Architecture:
Information Sharing Architecture:
"As-is" Inventory:
Target Technical Architecture:
EA Analysis Reports:
Create, Update, Reference, and Eliminate (CURE) Matrix:
HLS EA Strategic Drivers:
Other EA Related Artifacts:
Attachment 1 depicts the structure of DHS EA 2006.
Summary of GAO Reviews of DHS's EA:
Since 2003, we have evaluated and reported on DHS's efforts to develop,
maintain, and implement its enterprise architecture from three EA
perspectives: management, content, and investment alignment.
EA Management:
We reported in 2003[Footnote 15] and again in 2006[Footnote 16], on the
department's institutional capability to manage its architecture
program, including management practices associated with architecture
governance, content, use, and measurement.
In 2003 we reported that the department had implemented many of the
practices described in our Enterprise Architecture Management Maturity
Framework (EAMMF version 1.1).[Footnote 17] For example, the department
had, among other things, assigned architecture development,
maintenance, program management, and approval responsibilities; and
created policies governing architecture development and maintenance.
However, we also reported that the department's EA products did not
describe its "as-is" and "to-be" environments, nor did they include a
sequencing plan. Furthermore, the EA business, performance,
information/data, application/service, and technology descriptions did
not address security.
In August 2006, we reported that DHS had satisfied a number of key
elements within our EA framework (version 1.1). For example, we
reported that DHS EA 2006 included products describing its "as-is" and
"to-be" environments. However, we also reported that the sequencing
plan was in draft and not approved, and DHS had not, for example,
subjected its EA products and management processes to independent
verification and validation, and it was not measuring and reporting on
EA use and return on investment.
EA Content:
In 2004, we reported on the completeness and usability of the initial
version of DHS's enterprise architecture.[Footnote 18] In summary, we
found that while the initial version provided a foundation on which to
build, it was missing important content (i.e., was not sufficiently
complete), which limited its usability. Moreover, we found that this
version was not systematically derived from a DHS or national homeland
security business strategy, but rather was an amalgamation of the
existing architectures that several of DHS's predecessor agencies
already had, along with their respective portfolios of system
investments. Accordingly, we made 41 recommendations aimed at ensuring
that future versions of the architecture:
are based on a methodology that provides for identifying the
appropriate scope and are effectively planned;
include the key elements business, performance, information, services/
applications, technical, and security descriptions of a "to-be"
architecture; and:
include the key elements of a transition plan.
Attachment 2 lists the 41 recommendations.
EA Investment Alignment:
Between 2003 and 2006, we have reported on the extent to which the
department has ensured that major IT investments, such as US-
VISIT,[Footnote 19] CBP's Automated Commercial Environment (ACE)
system[Footnote 20], and ICE's Atlas program[Footnote 21], are aligned
with its EA. For example,
We reported in September 2003 that US-VISIT was making assumptions and
decisions about the program's operational technological context because
DHS did not yet have a well-defined EA. We concluded that if program
decisions were not consistent with DHS's EA, program rework would be
required.[Footnote 22]
In February 2005, we reported that DHS had assessed US-VISIT for
alignment with its architecture and found it to be in compliance.
However, DHS could not provide us with sufficient documentation to
understand its architecture compliance methodology and criteria, or
verifiable analysis to justify its determination.[Footnote 23]
We similarly reported in March 2005 that DHS's determination that ACE
was aligned with DHS's EA was not supported by sufficient documentation
to allow us to understand its architecture compliance methodology and
criteria (e.g., definition of alignment and compliance) or with
verifiable analysis demonstrating alignment.[Footnote 24] In May 2006,
we again reported that DHS evaluated and approved ACE alignment.
However, DHS again did not have a documented methodology for evaluating
programs for compliance, and no analysis or documentation was produced
that could be used to verify ACE's degree of alignment. Moreover, the
alignment assessment again did not cover all architectural
views.[Footnote 25]
We reported in September 2005 that DHS had determined that Atlas was in
compliance with the EA but that this determination was also not based
on a documented analysis that is necessary to make such a
determination.[Footnote 26] In July 2006, we reported that DHS had
again determined that Atlas was in compliance. However, the
determination was not based on a documented analysis mapping Atlas's
infrastructure architecture to the EA or a documented methodology for
evaluating compliance.[Footnote 27]
Results:
DHS EA 2006 Evolution and Limitations:
DHS EA 2006 Has Evolved beyond Prior Versions, but Missing Architecture
Content and Limited Stakeholder Input Constrain Its Usability:
DHS EA 2006 partially addresses the content shortcomings that we
previously reported about prior versions of the department's
architecture and made recommendations to correct. Moreover, this latest
version of the architecture either partially or fully addresses about
36 percent of the comments made by DHS component organizations and
stakeholders and its EA support contractor on a draft of it.
Nevertheless, the full depth and breadth of EA content that our
recommendations provided for adding is still missing. Moreover, not
only do the majority of stakeholder comments remain to be addressed,
but key stakeholders, such as the Coast Guard and TSA, chose to not
comment on a draft of DHS EA 2006, and the approach used to solicit
input from those DHS organizations and stakeholders that chose to
comment was limited.
As a result, concerns about the usability of DHS EA 2006 as a
departmental frame of reference for informing IT investment decisions
were raised by certain DHS component organizations and stakeholders,
and the EA support contractor, and as noted earlier, was observed as
part of our prior work on major IT investments. Without an EA that is
complete, internally consistent, and understandable, DHS's ability to
guide and constrain IT investments in a way that promotes
interoperability, reduces overlap and duplication, and optimizes
overall mission performance will be greatly diminished.
DHS EA 2006 Partially Addresses Prior GAO Recommendations, but
Important Content Still Are Missing:
DHS EA 2006 partially satisfies each of our 41 prior recommendations
aimed at adding important content to the architecture's "to-be"
business, performance, information, services/applications, technical,
and security views.[Footnote 28] The following are summaries of
selected recommendations that are illustrative of the extent to which
DHS EA 2006 addresses them.
Recommendation: Include in the "business" view of the "to-be"
architecture, among other things, the enterprise's purpose, scope
(e.g., organizations, business areas, and internal and external
stakeholders' concerns), and associated limitations or assumptions.
In response, the DHS EA 2006 business view describes DHS's purpose,
including strategic goals, and it describes aspects of DHS's scope,
such as organizational entities and their business area
responsibilities. Further, it describes the need to interact with
external stakeholders, and it identifies the limitations of its current
environment (e.g., information sharing). However, some of the entities
described no longer exist (e.g., Border and Transportation Security
Directorate). Moreover, it does not clearly describe DHS's scope within
the larger context of homeland security, which is important because
other departments are involved in homeland security, and thus where
DHS's business areas stop and other departments' start needs to be
clear. In addition, it does not identify any assumptions associated
with the "to-be" business model, such as cultural changes needed for
information sharing.
Recommendation: Include in the "business" view of the "to-be"
architecture a description of key business processes and the locations
where the processes will be performed, including the alignment among
(1) applicable federal laws, regulations, and guidance, (2) department
policies, procedures, (3) operational activities, (4) organizational
roles, and (5) operational events and information.
In response, the DHS EA 2006 identifies functions (e.g., "Implement and
Test Countermeasures") and services (e.g., "Person-Centric Information
Services") for achieving mission and strategic business goals (e.g.,
"Prevention"). However, the functions are not decomposed into business
processes, which is important because functions are logical groupings
of business activities, whereas a process is an executable series of
triggered events that produces a desired outcome. Moreover, not all
functions are assigned to a location/organization (e.g., "Discover
Threat Trends" or "Assess Preparedness Capabilities"). In addition,
while functions are based on applicable laws, regulations, and guidance
(e.g., the National Strategy for Homeland Security), the architecture
does not describe alignment with department policies, procedures, and
guidance, and it does not address operational activities, all
organizational roles, and operational events.
Recommendation: Include in the "performance" view of the "to-be"
architecture a description of measurable goals and outcomes for (1)
technology products and services and (2) business applications and
services that help enable achievement of business goals and outcomes.
In response, DHS EA 2006 describes certain technical performance goals/
measures, (e.g., 99.5 percent availability for IT infrastructure).
However, goals/measures for other items are not specified, such as
network throughputs. According to EA Team officials, specification of
all technical goals/measures are pending execution of IT and business
unit service level agreements. Also, the EA provides a vision for
business services to develop an integrated system or system of systems
that provide a comprehensive set of business services. In addition,
while the architecture specifies measurable goals and outcomes for some
applications and services, it does not describe such goals and services
for all specified services (e.g., "Managing Grants, Procurements, and
Acquisitions") and all systems (e.g., the Automated Export System).
Recommendation: Include in the "information/data" view of the "to-be"
architecture a description of data management policies, procedures,
processes, and tools for analyzing, designing, building, and
maintaining databases in an enterprise architected environment.
In response, DHS EA 2006 outlines data management strategies and
database management activities, including ensuring that the design,
development, deployment, operation, and maintenance of an enterprise
data environment support enterprisewide management of data. For
example, activities are identified for establishing procedures for
coordinating data maintenance activities. Also, data management
objectives are defined, such as ensuring that data storage is not
centralized but rather available via federated query. Further, the need
to identify and adopt tools for meeting data management objectives,
such as modeling and organizing data is recognized. However, DHS EA
2006 does not describe data management processes and procedures, such
as ones for identifying and standardizing core data elements to be used
across DHS and with external stakeholders.
Recommendation: Include in the "information/data" view of the "to-be"
architecture a data dictionary, which is a repository of standard
definitions for key terms.
In response, DHS EA 2006 provides a data dictionary that includes
definitions of subject areas (e.g., event) and data objects (e.g.,
incident). However, definitions of all key terms (e.g., first
responder) are not included in the dictionary.
Recommendation: Include in the "information/data" view of the "to-be"
architecture a (1) conceptual data model (i.e., a description of the
objects or things that comprise the business without regard to how they
will be physically stored); (2) a logical database model (i.e., the
normalized basis for developing the schemas that support design of
physical databases), and (3) a metadata model (i.e., the rules and
standards for representing data (data formats) and accessing data (data
protocols), according to a documented business context).
In response, DHS EA 2006 provides definitions of subject areas or high-
level categories of business things/information types (e.g.,
"Conveyances") and data objects (e.g., "Manifest") that are fundamental
to DHS's business. It also identifies the relationships between data
objects.
Also, DHS EA 2006 provides a logical database model for its "Integrated
Flow of Persons Through Existing Screening Processes" business
function. However, logical database models are not included for all
business functions. DHS EA Team officials told us that a project team
has been established to develop a metadata model.
Recommendation: Include in the "services/applications" view of the "to-
be" architecture a description of the enterprise application systems
and system components and their interfaces.
In response, DHS EA 2006 defines capabilities (e.g., Maintain Threat
Notification) for target application and application components. In
addition, it identifies business functions (e.g., "Communicate Risks"
and "Threats to the Public") that are enabled by application
components. However, the architecture does not describe the interfaces
between enterprise applications and application components. For
example, it does not depict the interconnection involved between the
"Communicate Risks" and "Threats to the Public" business functions.
Recommendation: Include in the "technical" view of the "to-be"
architecture a description of the technical reference model
(TRM)[Footnote 29] that describes enterprise infrastructure services,
including specific details regarding the services' functionality and
capabilities that will be available in developing application systems,
as well as the technical standards to be implemented for each service
and the life cycle of each service.
In response, DHS EA 2006 lists TRM services, such as data discovery
services and Web services, and identifies the technical standards that
support the services. However, since the listed services are from DHS
components, the services that will and will not be enterprise services
are not identified. In addition, the functionality and capabilities of
these services are not specified, and the anticipated life cycles of
many services (e.g., "Message Middleware") are not described.
Recommendation: Include in the "security" view of the "to-be"
architecture a description of the policies, procedures, goals,
strategies, principles, and requirements relevant to information
assurance and security, including how they align and integrate with
other elements of the architecture (e.g., security services).
In response, DHS EA 2006 contains policies, procedures, goals,
strategies, principles, and requirements for managing information
assurance and security. For example, it includes DHS IT Security
Architecture Guidance, which outlines security principles related to
identity and access management, as well as the DHS Sensitive Systems
Policy and DHS Sensitive Systems Handbook, which describe a range of
security policies and procedures. However, the architecture does not
clearly show how these documents are aligned with each other, and how
they are aligned with products in the other architecture views (e.g.,
the "technical" view's TRM identifies component organizations
firewalls, but it is unclear whether these are part of the "security"
view of the "to-be" architecture). Moreover, none of the security
related documents have been updated from those in the prior version of
the EA.
Recommendation: Base the EA transition plan on, among other things, an
analysis of the gaps between the "as-is" and "to-be" architectures'
business, information/data, and services/application systems to define
missing and needed capabilities.
In response, DHS EA 2006 does not include a transition plan, and it
does not include any evidence of a gap analysis-a comparison of the
current and target architectures to identify capability differences.
DHS EA 2006 Partially Addresses Stakeholder Comments, but Concerns
Remain:
A total of 383 stakeholder comments were submitted on a draft of DHS EA
2006. Of these comments, DHS reported that 139 were fully addressed, 27
were partially addressed, and 101 were not addressed but are to be
resolved in a later EA version, while 116 had no resolutions reported.
Thus, the majority of stakeholder comments, including expressions of
concern about the usability of DHS EA 2006, were not addressed.
Of the 139 stakeholder comments that were reported as fully addressed,
131 were reportedly addressed by adding or correcting previously
missing or erroneous information in the draft materials, such as
omitted systems, misspellings, and incorrect business owner contact
information and:
8 were reportedly addressed by providing additional descriptive
information.
According to DHS's comment tracking documentation, 27 of the remaining
244 comments were partially addressed. For example,
* The EA support contractor stated that the IT standards
profile[Footnote 30] in the TRIVI did not identify important time
frames for TRIVI categories. These categories are hold[Footnote 31],
contain[Footnote 32], divest[Footnote 33], or move-to.[Footnote 34]
Without time frames for each standard, programs cannot effectively plan
for the appropriate use of new and existing standards, thus increasing
the chances of later program rework.
In response, the EA Team stated that timeframes for 30 percent of the
standards in the move-to category were established by the January 31,
2006, target, and the remainder of the time frames are scheduled to be
identified by September 30, 2007.
Multiple comments criticized the usability of EA 2006. CBP stated that
the collection of Access tables and Excel spreadsheets was very hard to
understand, navigate, and cross-reference. IAIP commented that data
were spread over too many documents, making it hard for nonarchitects
to understand and utilize. US-VISIT noted that appropriate architecture
access tools were not provided. The EA support contractor stated that
the architecture's usability was poor and suggested adopting a proper
EA repository tool to improve usability.
In response, an html embedded table of contents with hyperlinks to EA
products was added. However, plans to make the EA repository available
in a commercial tool, which was at one time scheduled for December 1,
2005, have been suspended. Additionally, the repository requirements
working group has been disbanded. Notwithstanding this, EA Team
officials stated that they are looking at opportunities for improved
presentation of the EA.
According to DHS's comment tracking documentation, 101 comments were
not addressed in DHS EA 2006 but are to be resolved in a later version
of the EA.
The Chief Information Security Office stated that the security
architecture was not fully integrated, citing for example that the "as-
is" inventory lacked security classifications-sensitivity levels for
4,118 out of 4,260 systems listed. According to DHS documentation, work
is ongoing to address this comment and continued planning,
collaboration, and resources are required to further integrate the
security architecture into the EA.
ICE stated that the inputs it provided had not been incorporated,
represented, or otherwise accommodated in anyway, and that the draft
DHS EA 2006 business model was an unchanged repackaging of the prior
version of the EA. DHS documentation acknowledged that the scope of the
business model included only limited changes, and the ICE business
model and mapping would be incorporated in a later version of the
architecture.
CBP stated that the draft DHS EA 2006 lacked a framework or other
organizational structure. According to DHS documentation, a framework
is to be used for the next version of the architecture.
The United States Secret Service (USSS) stated that the draft
architecture described a "snap shot in time" and did not provide any
organized way of updating and maintaining data. The EA Team stated that
in developing the draft it had tried to minimize the number of "data
calls" to component organizations and that it would make further
efforts to initiate more component collaboration and input in the
future.
The EA support contractor stated that:
* The business model was not complete and should have been updated to
reflect missing data. According to DHS documentation, a business model
review was under way at the time to collect additional information
where possible and include it in EA 2007, but some business model
updates may be carried to the DHS EA 2008 version.
* The process flows, and use cases which are essential for driving out
information sharing and interoperability issues-were missing. According
to DHS documentation, work on this had started for business areas based
on Office of the Chief Information Officer (OCIO) priorities and where
artifacts and content were available.
* The transition strategy had weaknesses, such as a lack of vision for
incremental transformation. According to DHS documentation, work was
under way for creating a transition plan.
* Security and privacy considerations were notably weak. According to
DHS documentation, some related work is on-going but that further
efforts will be planned to address security and privacy information in
a future release of the EA as opportunity and information is available.
DHS's comment tracking documentation did not provide resolution actions
for the remaining 116 comments. Although some of these unresolved
comments did not require that action be taken, others were substantive.
For example,
CBP stated that the draft EA suffered the same incompleteness that we
identified with the first version of DHS's EA and that it did not
demonstrate an integrated understanding of the current DHS environment.
According to DHS documentation, no change was required to address this
comment because our recommendations were addressed in the second
version of DHS's EA. However, as previously discussed, our analysis of
the extent to which DHS EA 2006 addresses our prior recommendations
showed that they were only partially addressed, and that important
content remained to be added.
Science and Technology (S&T) stated that performance measures were not
comprehensive and not always measurable. According to DHS
documentation, no change was required because the source for the
performance measures was the department's fiscal year 2006 budget.
Stakeholder Commentary on Draft DHS EA 2006 Products Was Limited:
Soliciting and obtaining comments from all departmental stakeholders is
an important way to ensure that draft architectural products are well
defined. To their credit, the DHS Chief Architect and EA Team
recognized the importance of such commentary.
However, the approach they used in soliciting comments did not clearly
define the type of information requested and did not provide sufficient
time for detailed responses. Also, the extent to which they actually
obtained comments was limited. Of 33 EA stakeholders, only 12 submitted
comments. Without ensuring that meaningful comments from all key DHS
organizational components were obtained, the department has missed a
valuable opportunity to better ensure the completeness, internal
consistency, and understandability of DHS EA 2006.
Approach to Soliciting Stakeholder Comments Was Limited:
When soliciting comments from stakeholders, it is important that the
approach used, among other things, (1) clearly define the type of
information being solicited, including what key terms mean, and (2)
permit adequate time for stakeholders to provide comments. The approach
to soliciting comments on DHS EA 2006 did not do these things.
First, the type of information being solicited from stakeholders on a
draft of DHS EA 2006 was not clearly defined. For example,
Stakeholders were asked to use a scale of 1 to 5 to score the quality
of four characteristics of DHS EA 2006. However, only the extremes of
the scale were labeled, with 1 being designated as poor and 5 being
designated as excellent. Scores of 2, 3, and 4 were not labeled.
Moreover, the intended meaning of poor and excellent, much less a score
of 2, 3, or 4, were not defined. As a result, stakeholders had to
assign their own unique meanings to the scoring system.
The characteristics that stakeholders were asked to score the quality
of were completeness, consistency, understanding, and usability.
Associated with each of the four architecture characteristics were
between 2 to 4 questions. However, these questions did not clarify what
was meant by each characteristic. For example, stakeholders were asked
to score completeness based on the following questions without further
explanation or guidance.
* How complete do you feel EA 2006 is from a DHS perspective?
* How complete do you feel EA 2006 is from your component or
organization perspective?
* How complete do you feel EA 2006 is from an OMB or oversight
perspective?
Second, stakeholders had to review the draft and provide their comments
in only 2 weeks. According to the EA support contractor, this was not
sufficient time to respond. Similarly, CBP stated in its comments that
this was too short a period of time to permit a detailed review. Our
review of DHS EA 2006 confirmed this, as we found that considerably
more time was needed for us to examine the number of complex artifacts
in the architecture (e.g., 200 Access tables and 6 Excel workbooks
(each of with multiple worksheets).
Extent to Which Stakeholders Provided Comments Was Limited:
To the credit of the Chief Architect and the EA Team, they solicited
stakeholder comments on a draft of DHS EA 2006. The stakeholders
included 14 component organizations, 18 internal stakeholders, and 1
support contractor.
Of these 33 stakeholders, comments were received from only 12. Among
those major DHS organizations that did not comment were Transportation
Security Administration (TSA), the Coast Guard, and FEMA. This means
that DHS EA 2006 does not reflect the reactions and perspectives of
major organizational parts of the department. The tables on the next
slide identifies the 33 stakeholders as well as which ones provided
comments.
Table 4: Stakeholders That Did and Did Not Provide Comments:
Provided comments.
Components.
Customs and Border Protection (CBP).
Immigration and Customs Enforcement (ICE).
Science and Technology (S&T).
US-VISIT.
Intelligence Analysis and Operations (IAIP).
Federal Law Enforcement Training Center (FLETC).
Secret Service (USSS).
Internal stakeholders.
EA Program Management Office (PMO).
Chief Information Security Office (CISO).
Enterprise Data Management Office.
Wireless Management Office (WMO).
Contractor.
Contractor/Independent Review Team.
Did not provide comments:
Components.
OPS Coordination.
Citizenship and Immigration Services (USCIS).
Federal Emergency Management Agency (FEMA).
Office of Intelligence and Analysis (OI&A).
Preparedness Division (PD).
Transportation Security Administration (TSA).
Coast Guard (USCG).
Internal stakeholders.
Geospatial Management Office.
Infrastructure Transformation Office.
Continuity of Operations/ Critical Infrastructure Protection.
Homeland Secure Data Network.
Section 508 Compliance.
Enterprise Business Management Office (EBMO).
Enterprise Application Delivery Office (EADO).
Privacy Office.
Chief Medical Officer (CMO).
Chief Financial Office (CFO).
Chief Procurement Officer (CPO).
Chief Human Capital Officer (CHCO).
Screening Coordination Officer.
Grants and Training.
Source: GAO Analysis of DHS data.
[End of table]
DHS Capital Investment Plan Is Not Based on EA Transition Plan and Is
Not Complete:
According to OMB guidance, capital planning helps to ensure that
investments are timed and economically justified to fill identified
gaps in mission capabilities and to support strategic mission goals and
outcomes. Capital investment plans are intended to capture the results
of such planning. Our EA guidance states that a complete EA includes a
plan for investing in capital assets and transitioning from the "as-is"
architectural environment to the "to-be" environment. It further states
that this transition plan is to be based on an analysis of the mission
capability gaps that exists between these two environments, as well as
such factors as technology opportunities, marketplace trends, fiscal
and budgetary constraints, institutional system development and
acquisition capabilities, new and legacy system dependencies and life
expectancies, and the relative value of competing investments.
In January 2006, DHS produced Capital Investment Plan for Implementing
the DHS Enterprise Architecture, which was prepared to respond to the
DHS Appropriations Act of 2006. According to the plan, it focuses on
the near-term and represents the first phase of a transition plan for
getting from the "as-is" to the "to-be" EA. The plan refers to this
focus as building the foundation for effective transition, and states
that it includes the following four areas:
establishing the IT infrastructure (e.g., communications security,
network/e-mail/data center services, application portals) to support
eventual provision of enterprisewide shared services and efficient
information sharing;
planning and implementing more efficient provision enterprise business
services (e.g., financial services, human resource services);
consolidating duplicative legacy systems (e.g., watch lists); and:
supporting OMB eGov initiatives and lines of business.
For each of these areas, the capital investment plan incorporates
information from the department's fiscal year 2007 budget submissions
to OMB (Exhibit 53 and Exhibit 300s) to identify prior year, current
year (fiscal year 2006), and future year (fiscal year 2007 to 2011)
funding and personnel levels for a number of investments, including
descriptions of these investments. Examples of investments in each
category are as follows.
IT Infrastructure: Network services to move toward a consolidated,
reliable, and secure communications network.
Enterprise Business Services: Electronic records management to
integrate and replace multiple applications and manual processes.
Consolidating Legacy Systems: Watch list technical integration to,
among other things, streamline the flow of terrorist screening data to
and among DHS agencies and the National Counterterrorism Center.
OMB eGOV and Lines of Business: Geospatial information one-stop to
promote coordination and alignment of geospatial data collection and
maintenance among all levels of government.
Notwithstanding the wide range of investment-related information in
DHS's capital investment plan, it is not complete with respect to
providing a comprehensive roadmap for transitioning from the "as-is" to
the "to-be" DHS architecture. For example,
DHS EA 2006 did not include an EA transition plan, and thus the capital
investment plan is not based on this integral part of a complete EA-
namely the temporal roadmap transitioning to the "to-be" architecture
that is grounded in, among other things, analyses of gaps in mission
area capabilities and proposed investments to fill the gaps that are
sequenced over time in light of, for example, the investments' mutual
dependencies and return on investment, and the department's ability to
afford and manage them. Rather, the capital investment plan is the
compilation of a number of ongoing and planned investments as contained
in the department's budget submissions, logically organized by
investment categories or portfolios. According to the DHS Chief
Architect, the capital investment plan is in an "initial plan" and a
more complete version will exist once the DHS EA 2007 transition plan
is developed.
The capital investment plan does not account for all of DHS's planned
investment in IT. For example,
* For fiscal year 2007, it includes $527 million in IT development,
modernization, and enhancement funding, while DHS's budget submission
to OMB for IT totaled $1.845 billion. Thus, it excludes about $1.318
billion or about 71 percent of this planned IT funding.
* For fiscal year 2007, it includes $1.078 billion in IT operations and
maintenance funding, while DHS's budget submission to OMB for IT
totaled $2.260 billion. Thus, it excludes $1.182 billion or about 52
percent of this planned IT funding.
The capital investment plan does not include information on certain
major IT capital investments, such as Secure Flight, which is a system
to prescreen passengers (i.e., match passenger information against
terrorist watch lists) for domestic flights, or the Secure Border
Initiative (SBI), which is a multiyear program to secure U.S. borders
and reduce illegal immigration. According to the capital investment
plan, investments like SBI were not included in the plan because they
require an enormous amount of planning and did not have investment
dollars associated with them.
In March 2006, DHS announced that Emerge[Footnote], a departmentwide
program to consolidate financial management systems and which was
included within the capital investment plan, was being terminated.
Conclusions:
DHS's approach to developing its EA through incremental releases or
versions is reasonable, given the size and complexity of the department
and the volumes of information needed to produce a complete,
understandable, and usable architecture. As the department's third
version of its EA, DHS EA 2006 is an improvement over prior versions,
as evidenced by it at least partially addressing our prior
recommendations. Moreover, DHS EA 2006 is partially responsive to
stakeholder comments on a draft of it.
Nevertheless, DHS EA 2006 is still not sufficiently complete and
usable, given those aspects of our recommendations that it did not
fully address, the range of stakeholder comments that have not been
resolved, and the limitations of the capital investment plan. Given the
critical role that DHS's EA should play in the department's
transformation efforts, which we have identified as a high-risk
undertaking, it is important for DHS to fully address both our existing
recommendations and stakeholder comments on incremental versions of its
architecture.
Finally, with regard to stakeholder comments, it is also important for
the department to ensure that it devotes sufficient time and adopts an
effective approach to obtaining stakeholder comments on future
versions. If it does not, the chances of developing a well-defined EA
that is accepted and usable will be diminished.
Recommendations For Executive Action:
To ensure that DHS fully implements our prior EA recommendations and
effectively solicits and addresses stakeholder comments on incremental
versions of its EA, we recommend that the Secretary of Homeland
Security direct the department's CIO to:
(1) include in future versions of the department's EA a traceability
matrix that explicitly maps EA content to our recommendations in
sufficient detail to demonstrate their implementation, and:
(2) ensure that future efforts to solicit stakeholder comments on the
department's EA employ an effective approach that includes clearly
defining the type of information requested and allowing sufficient time
for obtaining and responding to these comments.
We are not making recommendations for addressing limitations in the
department's capital investment plan for implementing its EA because
our existing recommendations for an EA transition plan address such
limitations.
Agency Comments:
In written comments on a draft of this briefing, the DHS CIO
acknowledged that DHS EA 2006 is missing important content. He also
stated that the department is addressing our prior recommendations and
valid stakeholder comments, and that future versions of the
architecture will add recommended content and improve usability.
Further, the CIO stated that the department is currently using its EA
as a means to improve mission effectiveness and efficiency, and that
completeness is not required for an EA to be useful. We agree that
there is value in each incremental version of an evolving architecture
to help inform system investment decision making. However, the more
complete and understandable an EA is, the greater its utility. Our
prior recommendations are aimed at advancing the utility of DHS's EA.
While the CIO's written comments did not explicitly address the
recommendations in this briefing, the DHS Chief Architect said that the
department generally agrees with our recommendations for mapping our
prior recommendations to specific EA content and for effectively
soliciting stakeholder comments on future EA versions.
Attachment 1: DHS EA 2006 Structure:
[See PDF for image]
Source: GAO based on DHS EA 2006.
[End of figure]
Attachment 2: GAO EA Content Recommendations:
To ensure that DHS has a well-defined architecture to guide and
constrain pressing transformation and modernization decisions, we
recommended that the Secretary of Homeland Security direct the
department's architecture executive steering committee, in
collaboration with the CIO, to:
# Recommendation:
1 Ensure that the development of DHS's enterprise architecture is based
on an approach and methodology that provides for identifying the range
of mission operations and the focus of the business strategy and
involving relevant stakeholders (external and internal) in driving the
architecture's scope and content.
2 Develop, approve, and fund a plan for incorporating into the
architecture the content that is missing.
3 A business assessment that includes the enterprise's purpose, scope
(e.g., organizations, business areas, and internal and external
stakeholders' concern(s), limitations or assumptions, and methods.
A gap analysis that describes the target outcomes and shortfalls,
including strategic business issues, conclusions reached as a result of
the analysis (e.g., missing capabilities), casual information, and
rationales.
4 A business strategy that describes the desired future state of the
business, the specific objectives to be achieved, and the strategic
direction that will be followed by the enterprise to realize the
desired future state. The business strategy should include:
(1) A vision statement that describes the business areas requiring
strategic attention based on the gap analysis,
(2) A description of the business priorities and constraints, including
their relationships to, at a minimum, applicable laws and regulations,
executive orders, departmental policy, procedures, guidance, and audit
reports,
(3) A description of the scope of business change that is to occur to
address identified gaps and realize the future desired business state.
The scope of change, at a minimum, should identify expected changes to
strategic goals, customers, suppliers, services, locations, and
capabilities,
(4) A description of the measurable strategic business objectives to be
met to achieve the desired change,
(5) A description of the measurable tactical business goals to be met
to achieve the strategic objective, and:
(6) A listing of opportunities to unify and simplify systems or
processes across the department, including their relationships to
solutions that align with the strategic initiatives to be implemented
to achieve strategic objectives and tactical goals.
5 Common (standard and departmentwide) policies, procedures, and
business and operational rules for consistent implementation of the
architecture.
6 A description of key business processes and how they support the
department's mission, including the business processes and the
locations where the business process will be performed. This
description should provide the consistent alignment of (1) applicable
federal laws, regulations, and guidance; (2) department policies,
procedures, and guidance; (3) operational activities; (4)
organizational roles; and (5) operational events and information.
7 A description of the operational management processes to ensure that
the department's business transformation effort remains compliant with
the business rules for fault, performance, security, configuration, and
account management.
8 A description of the organizational approach (processes and
organizational structure) for communications and interactions among
business lines and program areas for (1) management reporting, (2)
operational functions, and (3) architecture development and use (i.e.,
how to develop the architecture, and govern/manage the development and
implementation of the architecture).
We recommended the following actions to ensure that future versions of
the architecture included the three key elements governing the
performance view of the "to-be" architectural content that our previous
report identified as not being fully developed:
# Recommendation:
9 A description of the processes for establishing, measuring, tracking,
evaluating, and predicting business performance regarding business
functions, baseline data, and service levels.
10 A description of measurable business goals and outcomes for business
products and services, including strategic and tactical objectives.
11 A description of measurable technical goals and outcomes for
managing technology products and services for the "to-be" architecture
that enables the achievement of business goals and outcomes.
We recommended the following actions to ensure that future versions of
the architecture included the seven key elements governing the
information view of the "to-be" architectural content that our previous
report identified as not being fully developed:
# Recommendation:
12 A description of data management policies procedures, processes, and
tools (e.g., CURE matrix) for analyzing, designing, building, and
maintaining databases in an enterprise architected environment.
13 A description of the business and operational rules for data
standardization to ensure data consistency, integrity, and accuracy,
such as business and security rules that govern access to, maintenance
of, and use of data.
14 A data dictionary, which is a repository of standard data
definitions for applications.
15 A conceptual data model that describes the fundamental things/
objects (e.g., business or tourist visas, shipping manifests) that make
up the business, without regard to how they will be physically stored.
A conceptual data model contains the content needed to derive facts
about the business and to facilitate the creation of business rules. It
represents the consolidated structure of business objects to be used by
business applications.
16 A logical database model that provides (1) a normalized (i.e.,
nonredundant) data structure that supports information flows and (2)
the basis for developing the schemas for designing, building, and
maintaining physical databases.
17 A metadata model that specifies the rules and standards for
representing data (e.g., data formats) and accessing information (e.g.,
data protocols) according to a documented business context that is
complete, consistent, and practical.
18 A description of the information flows and relationships among
organizational units, business operations, and system elements.
We recommended the following actions to ensure that future versions of
the architecture included the five key elements governing the services/
applications view of the "to-be" architectural content that our
previous report identified as not being fully developed:
# Recommendation:
19 A description of the services and their relationships to key end-
user services to be provided by the application systems.
20 A list of application systems (acquisition/development and
production portfolio) and their relative importance to achieving the
department's vision, based on business value and technical performance.
21 A description of the policies, procedures, process, and tools for
selecting, controlling, and evaluating application systems to enable
effective IT investment management.
22 A description of the enterprise application systems and system
components and their interfaces.
23 A description of the system development life-cycle process for
application development or acquisition and the integration of the
process with architecture, including policies, procedures, and
architectural techniques and methods for acquiring systems throughout
their life cycles. The common technical approach should also describe
the process for integrating legacy systems with the systems to be
developed/acquired.
We recommended the following actions to ensure that future versions of
the architecture included the six key elements governing the technical
view of the "to-be" architectural content that our previous report
identified as not being fully developed:
# Recommendation:
24 A list of infrastructure systems and a description of the systems'
hardware and software infrastructure components. The description should
also reflect the systems relative importance to achieving the
department's vision based on constraints, business value, and technical
performance.
25 A description of the policies, procedures, processes, and tools for
selecting, controlling, and evaluating infrastructure systems to enable
effective IT investment management.
26 A description of the technical reference model (TRIVI) that
describes the enterprise infrastructure services, including specific
details regarding the functionality and capabilities that these
services will provide to enable the development of application systems.
27 A description of the TRIVI that identifies and describes (1) the
technical standards to be implemented for each enterprise service and
(2) the anticipated life cycle of each standard.
28 A description of the physical IT infrastructure needed to design and
acquire systems, including the relationships among hardware, software,
and communications devices.
29 Common policies and procedures for developing infrastructure systems
throughout their life cycles, including requirements management,
design, implementation, testing, deployment, operations, and
maintenance. These policies and procedures should also address how the
applications will be integrated, including legacy systems.
We recommended the following actions to ensure that future versions of
the architecture included the seven key elements governing the security
view of the "to-be" architectural content that our previous report
identified as not being fully developed:
# Recommendation:
30 A description of the policies, procedures, goals, strategies,
principles, and requirements relevant to information assurance and
security and how they (the policies, procedures, goals, strategies, and
requirements) align and integrate with other elements of the
architecture (e.g., security services).
31 Definitions of terms related to security and information assurance.
32 A listing of accountable organizations and their respective
responsibilities for implementing enterprise security services. It is
important to show organizational relationships in an operational view
because they illustrate fundamental roles (e.g., who conducts
operational activities) and management relationships (e.g., what is the
command structure or relationship to other key players) and how these
influence the operational nodes.
33 A description of operational security rules that are derived from
security policies.
34 A description of enterprise security infrastructure services (e.g.,
identification and authentication) that will be needed to protect the
department's assets and the relationship of these services to
protective mechanisms.
35 A description of the security standards to be implemented for each
enterprise service. These standards should be derived form security
requirements. This description should also address how the services
will align and integrate with other elements of the architecture (e.g.,
security policies and requirements).
36 A description of the protection mechanisms (e.g., firewalls and
intrusion detection software) that will be implemented to secure the
department's assets, including a description of the interrelationships
among these protection mechanisms.
We recommended the following actions to ensure that future versions of
the architecture included the five key elements governing the
transition plan content that our previous report identified as not
being fully developed:
# Recommendation:
37 Analysis of the gaps between the baseline and the target
architecture for business processes, information/data, and
services/application systems to define missing and needed capabilities.
38 A high-level strategy for implementing the enterprise architecture.
This strategy should include:
(1) Specific time-phased milestones for acquiring and deploying
systems;
(2) Performance metrics for determining whether business value is being
achieved;
(3) Financial and nonfinancial resources needed to achieve the business
transformation;
(4) A listing of the legacy systems that will not be part of the "to-
be" environment and the schedule for terminating these systems;
(5) A description of the training strategy/approach that will be
implemented to address the changes made to the business operations
(processes and systems) to promote operational efficiency and
effectiveness. This plan should also address any changes to existing
policies and procedures that affect day-to-day operations, as well as
resource needs (staffing and funding); and,
(6) A list of the systems to be developed, acquired, or modified to
achieve business needs and a description of the relationship between
the system and the business need(s).
39 A strategy for employing enterprise application integration (EAI)
plans, methods, and tools to, for example, provide for efficiently
reusing applications that already exist, concurrent with adding new
applications and databases.
40 A technical (systems, infrastructure, and data) migration plan that
shows:
(1) The transition from legacy to replacement systems, including
explicit sunset dates and intermediate systems that may be temporarily
needed to sustain existing functionality during the transition period;
(2) An analysis of system interdependencies, including the level of
effort required to implement related systems in a sequenced portfolio
of projects that includes milestones, time lines, costs, and
capabilities;
(3) A cost estimate for the initial phase(s) of the transition and a
high-level cost projection for the transition to the target
architecture.
41 A strategy that describes the architecture's governance and control
structure and the integrated procedures, processes, and criteria (e.g.,
inventory management and security) to be followed to ensure that the
department's business transformation effort remains compliant with the
architecture.
Source: GAO.
[End of table]
[End of section]
Appendix II: Comments from the Department of Homeland Security:
U.S. Department of Homeland Security:
Washington, DC 20528:
April 11, 2007:
Mr. Randolph C. Hite:
Director, Information Technology Architecture and Systems Issues:
U.S. Government Accountability Office:
441 G Street, NW:
Washington, DC 20548:
Dear Mr. Hite:
RE: Draft Report GAO-07-564, Homeland Security: DHS Enterprise
Architecture Continues to Evolve but Improvements Needed (GAO Job Code
310641):
The Department of Homeland Security (DHS) appreciates the opportunity
to review and comment on the draft report referenced above that
addresses enterprise architecture and its role in facilitating
organizational transformation. We are pleased that the Government
Accountability Office (GAO) recognizes the progress made in the
development of the DHS Enterprise Architecture (EA) since the
Department was formed four years ago. We continue to make progress in
EA development and the recent release of the Homeland Security
Enterprise Architecture (HLS EA 2007) addresses many of the remaining
issues GAO highlights.
The report recommends that the Department's Chief Information Officer
(CIO) include a traceability matrix in future versions of the
Department's Enterprise Architecture that explicitly maps EA content to
GAO's recommendations in sufficient detail to demonstrate their
implementation. We agree with this recommendation. Efforts are
currently underway to develop a traceability matrix so that DHS can
better track progress and explicitly map EA content to the
recommendations.
GAO also recommends that the CIO ensure that future efforts to solicit
stakeholder comments on the Department's EA employ an effective
approach that includes clearly defining the type of information
requested, and allowing sufficient time for obtaining and responding to
these comments. We believe that the current process adequately allows
for stakeholder input into the DHS EA. The DHS EA Program Management
Office works closely with all stakeholders, including component
agencies and major programs throughout the year. Stakeholders have
unlimited opportunity to comment on and provide input to the EA.
Stakeholders have visible insight into the contents of and changes to
the EA through weekly EA review meetings of the EA Center of Excellence
and the EA Board. The evolution of the EA is, in fact, guided largely
by input from stakeholders. The annual review of the EA by stakeholders
is merely a review of the final packaged deliverable content that is
intended for review by OMB, which should already be familiar to
stakeholders. Moreover, the fact that the GAO audit team counted nearly
400 comments from stakeholders suggests that there was ample
opportunity for stakeholders to comment during this period.
We would like to correct the perception of the audit team on how the
Department has treated stakeholder comments. Stakeholder input is
crucial to the development of the DHS EA. In fact, the EA cannot exist
as a useful tool for the Department without stakeholder participation.
Many of the unresolved comments touch on areas that will be the focus
of future releases of the DHS EA. Furthermore, although the draft
report states that 116 comments from stakeholders had no resolution,
many of these comments were merely observations about the EA not
requiring a resolution.
Thank you again for the opportunity to comment on the draft report. DHS
is committed to continuous progress and improvements to Enterprise
Architecture to help support our very important mission of securing the
homeland. As the Department continues to evolve, the EA will evolve and
continue to show progress and improvements with each release.
Sincerely,
Signed by:
Steven J. Pecinovsky:
Director:
Departmental GAO/OIG Liaison Office:
[End of section]
Appendix III: GAO Contact and Staff Acknowledgments:
GAO Contact:
Randolph C. Hite, (202) 512-3439, hiter@gao.gov:
Staff Acknowledgments:
In addition to the person named above, Mark Bird, Assistant Director;
Neil Doherty; Ashfaq Huda; Nancy Glover; Anh Le; Teresa Smith; Amos
Tevelow; William Wadsworth; and Kim Zelonis made key contributions to
this report.
FOOTNOTES
[1] GAO, High-Risk Series: An Update, GAO-03-119 (Washington, D.C.:
January 2003); High-Risk Series: An Update, GAO-05-207 (Washington,
D.C.: January 2005).
[2] GAO, Homeland Security: Efforts to Improve Information Sharing Need
to Be Strengthened, GAO-03-760 (Washington, D.C.: Aug. 27, 2003) and
Department of Homeland Security: Formidable Information and Technology
Management Challenge Requires Institutional Approach, GAO-04-702
(Washington, D.C.: Aug. 27, 2004).
[3] GAO, Homeland Security: Efforts Under Way to Develop Enterprise
Architecture, but Much Work Remains, GAO-04-777 (Washington, D.C.: Aug.
6, 2004).
[4] The act also required DHS's CIO report to include a description of
the IT capital planning and investment control (CPIC) process and an IT
human capital plan.
[5] An EA describes how an entity currently operates (the "as-is"
architecture) and how it plans to operate in the future (the "to-be"
architecture); it also includes a plan for making that transition (the
transition plan).
[6] GAO-03-119 and GAO-05-207.
[7] GAO-03-760 and GAO-04-702.
[8] GAO-04-777.
[9] The act also requires DHS's CIO to submit a report that includes a
description of the information technology (IT) capital planning and
investment control (CPIC) process and an IT human capital plan, which
will also be reviewed by GAO.
[10] These specialties include intelligence analysis, law enforcement,
border security, transportation security, biological research, critical
infrastructure protection, and disaster recovery.
[11] For example, see GAO, Major Management Challenges and Program
Risks: Department of Homeland Security, GAO-03-102 (Washington, D.C.:
January 2003) and Homeland Security: Proposal for Cabinet Agency Has
Merit, but Implementation Will be Pivotal to Success, GAO-02-886T
(Washington, D.C.: June 25, 2002).
[12] See GAO, DOD Business Systems Modernization: Improvements to
Enterprise Architecture Development and Implementation Efforts Needed,
GAO-03- 458, (Washington, D.C.: Feb. 28, 2003); Information Technology.
DLA Should Strengthen Business Systems Modernization Architecture and
Investment Activities, GAO-01-631 (Washington, D.C.: June 29, 2001);
and Information Technology. INS Needs to Better Manage the Development
of Its Enterprise Architecture, AIMD-00-212 (Washington, D.C.: Aug. 1,
2000).
[13] GAO, Information Technology. A Framework for Assessing and
Improving Enterprise Architecture Management (Version 1.1), GAO-03-584G
(Washington, D.C.: April 2003).
[14] GAO-04-777.
[15] GAO, Information Technology: Leadership Remains Key to Agencies
Making Progress on Enterprise Architecture Efforts, GAO-04-40
(Washington, D.C.: Nov. 17, 2003).
[16] GAO, Enterprise Architecture: Leadership Remains Key to
Establishing and Leveraging Architectures for Organizational
Transformation, GAO- 06-831 (Washington, D.C.: Aug. 14, 2006).
[17] GAO, Information Technology: A Framework for Assessing and
Improving Enterprise Architecture Management (Version 1.1), GAO-03-584G
(Washington, D.C.: April 2003).
[18] GAO-04-777.
[19] US-VISIT is a governmentwide program to collect, maintain, and
share information on foreign nationals for enhancing national security
and facilitating legitimate trade and travel, while adhering to U.S.
privacy laws and policies.
[20] ACE is a new import and export processing system to facilitate the
movement of legitimate trade through more effective trade account
management and strengthen border security by identifying import and
export transactions that could pose a threat to the United States.
[21] Atlas is a program to modernize ICE's IT infrastructure to improve
information sharing, strengthen information security, and improve
productivity. GAO, Homeland Security. Risks Facing Key Border and
Transportation Security Program Need to Be Addressed, GAO-03-1083
(Washington, D.C.: Sept. 19, 2003).
[22] GAO, homeland Security: Risks Facing Key Border and Transportation
Security Program Need to Be Addresses, GAO-03-1083 (Washington, D.C.:
Sept. 19, 2003).
[23] GAO, Homeland Security. Some Progress Made, but Many Challenges
Remain on U.S. Visitor and Immigrant Status Indicator Technology
Program, GAO- 05-202 (Washington, D.C.: Feb. 23, 2005).
[24] GAO, Information Technology. Customs Automated Commercial
Environment Program Progressing, but Need for Management Improvements
Continues, GAO-05-267 (Washington, D.C.: Mar. 14, 2005).
[25] GAO, Information Technology. Customs Has Made Progress on
Automated Commercial Environment System, but It Faces Long-Standing
Management Challenges and New Risks, GAO-06-580 (Washington, D.C.: May
31, 2006).
[26] GAO, Information Technology. Management Improvements Needed on
Immigration and Customs Enforcement's Infrastructure Modernization
Program, GAO-05-805 (Washington, D.C.: Sept. 7, 2005).
[27] GAO, Information Technology. Immigration and Customs Enforcement
Is Beginning to Address Infrastructure Modernization Program Weaknesses
but Key Improvements Still Needed, GAO-06-823 (Washington, D.C.: July
27, 2006).
[28] Partially satisfied means that DHS addressed at least one but not
all elements of the recommendation.
[29] Describes technology that is to support the delivery of service
components, including relevant standards for implementing the
technology.
[30] The TRIVI identifies and describes the IT services (e.g., a data
interchange service) used throughout the agency. The standards profile
defines the set of IT standards that support the services. The profile
may also specify the technology products that implement a specific IT
standard.
[31] The hold category identifies the IT standards (or technology
products) that are currently in use.
[32] The contain category identifies the IT standards (or technology
products) that are currently in use but cannot be further deployed.
[33] 28 The divest category identifies the IT standards (or technology
products) that are to be retired.
[34] The move-to category identifies the IT standards (or technology
products) that are to be in the target state.
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