The Status of Enterprise Architecture and Information Technology
Investment Management in the Department of Justice
Audit Report 06-02
Office of the Inspector General
According to the Department's ITSM framework, IT Investments can be categorized as development projects, Operations and Maintenance (O&M) projects, and management processes. Development projects are those which are either new or undergoing major enhancements. O&M projects are considered steady state, meaning they are fully operational and continue to operate without significant enhancements. Management processes are on-going business operations as opposed to projects with a scheduled start and end date. All three types of investments grow through defined models. Development projects evolve through the Department System Development Life Cycle (SDLC), O&M projects evolve through the Department Operations Analysis Model, and management processes mature according to the Department Process Maturity Model.
The SDLC Model is used to manage system projects. The SDLC, established in 2003, has not yet been updated. According to the ITSM framework, the SDLC will be updated and streamlined to provide the sequence of activities that are needed to support Department-wide project management, oversight, and performance management of development projects. The SDLC will be used to compute the earned value of investment projects as they progress through the system development phases.19 According to a Department official, the current version of the SDLC is being modified to incorporate additional development process models and perform process streamlining; however, the existing SDLC is still used by components and is considered sufficient.
ITSM Business Cycle
The framework phases are applied to the ITSM Business Cycle, which is based on the OMB 3-year budget cycle. The ITSM Business Cycle spreads beyond 3 years to reflect multiple operating years for development and subsequent operations and maintenance of investments. The framework consists of select, control, and evaluate processes. The IT Planning Phase and the IT Funding and Architecture Phases, which occur during the planning year and budget year, equate to the select process. The IT Investment Oversight Phase, which occurs in multiple operation years, equates to the control and evaluate processes.
ITSM Core Processes and Products
The ITSM framework phases are composed of core interlocking processes that perform the business of each phase by passing core products from one core process to another. Each core product and process supports the Department enterprise portfolio.
ITSM Continuous Integrated Processes
The core products of the ITSM framework are the culmination of contributions from other Department business areas: (1) portfolio management, (2) Enterprise Architecture, (3) human capital, (4) information security, (5) E-Gov, (6) infrastructure management, and (7) business operations. Each of these business areas is integrated at the appropriate places in the ITSM core processes to provide substantial input towards the ITSM core products. The ITSM continuous integrated processes and the ITSM framework represent the total workings of the Department.
ITSM Enterprise Portfolio
The enterprise portfolio, as discussed in Finding 1, is one of the main products of the Department and inventories the Department's IT assets. The portfolio will be made up of investments, also referred to as projects, programs, systems, and architecture capabilities. It is the enterprise portfolio that will serve as the base data for the Department to integrate information among mid-level management and senior-level decision support.
ITSM Performance Measurements
Performance measures are used to determine if strategic objectives are being met at the investment level. Performance measures consist of goals and metrics used to determine if the goals are being met. The goals are developed from the strategic objectives within the IT Strategic Plan. The link between the strategic objective and the investment, and the goal and metric, enables decision-makers to attribute success from an investment to a strategic objective.