Information Technology: Foundational Steps Being Taken to Make
Needed FBI Systems Modernization Management Improvements
(10-SEP-04, GAO-04-842).
The Federal Bureau of Investigation (FBI) is investing more than
a billion dollars over 3 years to modernize its information
technology (IT) systems. The modernization is central to the
bureau's ongoing efforts to transform the organization. GAO was
asked to determine whether the FBI has (1) an integrated plan for
modernizing its IT systems and (2) effective policies and
procedures governing management of IT human capital, systems
acquisition, and investment selection and control.
-------------------------Indexing Terms-------------------------
REPORTNUM: GAO-04-842
ACCNO: A12369
TITLE: Information Technology: Foundational Steps Being Taken to
Make Needed FBI Systems Modernization Management Improvements
DATE: 09/10/2004
SUBJECT: Accounting procedures
Best practices
Information technology
Investments
Policy evaluation
Program management
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GAO-04-842
United States Government Accountability Office
GAO Report to Congressional Requesters
September 2004
INFORMATION
TECHNOLOGY
Foundational Steps Being Taken to Make Needed FBI Systems Modernization
Management Improvements
a
GAO-04-842
September 2004
INFORMATION TECHNOLOGY
Foundational Steps Being Taken to Make Needed FBI Systems Modernization
Management Improvements
Although improvements are under way and planned, the FBI does not
currently have an integrated plan for modernizing its IT systems. Each of
the bureau's divisions and other organizational units that manage IT
projects performs integrated planning for its respective IT projects.
However, the plans do not provide a common, authoritative, and integrated
view of how IT investments will help optimize mission performance, and
they do not consistently contain the elements expected to be found in
effective systems modernization plans. FBI officials attributed the state
of modernization planning to, among other things, the bureau's lack of a
policy requiring such activities, which is due in part to the fact that
the responsibility for managing IT-including modernization planning-has
historically been diffused and decentralized. The FBI's CIO recognizes
these planning shortfalls and has initiated efforts to address them. Until
they are addressed, the bureau risks acquiring systems that require
expensive rework to be effectively integrated, thus hampering
organizational transformation.
The FBI has established policies and procedures governing IT human capital
that are consistent with best practices used by leading private and public
organizations. However, the bureau's policies and procedures governing
systems acquisition, which are developed on a decentralized basis by the
divisions and other units that manage IT projects, include some but not
all best practices (see figure). In addition, the bureau's investment
management policies and procedures, which started in 2001, have been
evolving and progressing slowly toward alignment with best practices.
According to FBI officials, the state of the bureau's acquisition and
investment management policies and procedures is due to a number of
factors, including diffused and decentralized IT management authority. The
CIO recognizes these problems and has efforts planned and under way to
strengthen policies and procedures. Until these efforts are completed, the
bureau increases the risk that it will experience problems delivering
promised IT investments on time and within budget, which, in turn, could
adversely affect systems modernization and organizational transformation.
IT Systems Acquisition Best Practices Addressed in FBI Divisions' Policies
and Procedures Number of best practices 30
25 Practices not addressed
20 Practices addressed 15
10
5
Highlights of GAO-04-842, a report to congressional requesters
The Federal Bureau of Investigation (FBI) is investing more than a billion
dollars over 3 years to modernize its information technology (IT) systems.
The modernization is central to the bureau's ongoing efforts to transform
the organization. GAO was asked to determine whether the FBI has (1) an
integrated plan for modernizing its IT systems and (2) effective policies
and procedures governing management of IT human capital, systems
acquisition, and investment selection and control.
To help the bureau better manage its systems modernization risks, GAO is
making several recommendations to the Director, including that the FBI
limit its nearterm investments in IT systems until the bureau develops an
integrated systems modernization plan and effective policies and
procedures for systems acquisition and investment management. GAO is also
recommending that the Director provide the Chief Information Officer (CIO)
with the responsibility and authority to effectively manage IT across the
bureau. In the FBI's written comments on a draft of this report, the
bureau agreed that steps are being taken to lay the foundation for
improving IT operations, and that much work remains to institutionalize IT
management improvements. The FBI also described recent actions and plans
to address our recommendations.
hnologyce
ces ementOffice
ormationInf
vicesSer
ogrPrgMana
InfResourr
terCounterInT 0
www.gao.gov/cgi-bin/getrpt?GAO-04-842.
To view the full product, including the scope
and methodology, click on the link above.
For more information, contact Randolph C.
Hite at (202) 512-3439 or [email protected]. FBI divisions and units Source:
GAO analysis of FBI data.
Contents
Letter
1
Results in Brief 1 Background 3 Integrated Project Planning across the FBI
Is Not Yet Occurring, but
Improvements Are Planned 14
Policies and Procedures Governing Key Systems Modernization Management
Capabilities Are Partially in Place and Further Improvements Are Planned
20
Conclusions 39 Recommendations for Executive Action 40 Agency Comments and
Our Evaluation 41
Appendixes
Appendix I: Appendix II:
Appendix III:
Appendix IV: Appendix V: Objectives, Scope, and Methodology
Brief Descriptions of Major IT Systems Modernization Initiatives
Summary of Systems Acquisition Analyses for Six FBI Divisions
Comments from the Federal Bureau of Investigation
GAO Contact and Staff Acknowledgments
GAO Contact
Staff Acknowledgments
43
47
49
53
56 56 56
Tables Table 1: FBI Components and Divisions and Their Mission
Responsibilities 4
Table 2: Major IT Modernization Initiatives for Fiscal Years
2003-2005 by Division 8
Table 3: Extent to Which Divisions' Plans Address Modernization
Planning Elements 16
Simplified FBI Organizational Chart Extent
Figures Figure 1: Figure 2: to Which Six FBI Divisions' Systems 6
Acquisition
Policies and Procedures Address Best 25
Practices
Figure 3: Extent to Which Six FBI Divisions' Systems
Acquisition
Policies and Procedures Address
Configuration
Management Best Practices 28
Contents
Figure 4: Extent to Which Six FBI Divisions' Systems Acquisition Policies
and Procedures Address Project Management Best Practices 30
Figure 5: Extent to Which Six FBI Divisions' Systems Acquisition Policies
and Procedures Address Quality Assurance Best Practices 32
Figure 6: Extent to Which Six FBI Divisions' Systems Acquisition Policies
and Procedures Address Requirements Development and Management Practices
34
Figure 7: Extent to Which Six FBI Divisions' Systems Acquisition Policies
and Procedures Address Risk Management Best Practices 36
Abbreviations
CIO chief information officer
CJIS Criminal Justice Information Services
FBI Federal Bureau of Investigation
IT information technology
OMB Office of Management and Budget
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separately.
A
United States Government Accountability Office Washington, D.C. 20548
September 10, 2004
The Honorable Jane Harman
Ranking Minority Member
Permanent Select Committee on Intelligence
House of Representatives
The Honorable Bob Graham
United States Senate
The Honorable Richard C. Shelby
United States Senate
The Honorable Porter J. Goss
House of Representatives
The Federal Bureau of Investigation (FBI) is in the midst of investing
more
than a billion dollars over 3 years to modernize its information
technology
(IT) systems, including its aging infrastructure (e.g., networks) and its
mission operations and supporting administrative systems. The
modernization is one of the bureau's top 10 priority initiatives and is
central
to its ongoing efforts to transform the organization. Our research has
shown that effective IT modernization management plans, policies, and
procedures are important contributors to an effective systems
modernization program. Accordingly, you requested that we examine
whether the FBI has (1) an integrated plan for modernizing its IT systems
and (2) effective policies and procedures governing management of IT
human capital, systems acquisition, and investment selection and control.
We performed our work in accordance with generally accepted government
auditing standards. Details of our objectives, scope, and methodology are
in appendix I.
Results in Brief Integrated project planning is not yet occurring across
the bureau, but improvements are planned for the near future.
Specifically, the bureau does not have an integrated plan or set of plans
for modernizing its IT systems. Instead, the bureau's divisions, offices,
and other groups that manage IT projects are responsible for integrated
planning of their respective projects. Accordingly, the plans do not
provide a common, authoritative, and integrated view of how IT investments
will help optimize mission performance, and they do not consistently
satisfy the elements expected to be found in effective systems
modernization plans. For example, while two
of six component organizations included the majority of key elements, the
other four included few of them. FBI officials attributed the state of
modernization planning to, among other things, the bureau's lack of a
policy requiring integrated planning, which is due in part to the fact
that the responsibility for managing IT, including modernization planning,
has historically been decentralized and diffused. The FBI's Chief
Information Officer (CIO) recognizes these planning shortfalls and has
efforts planned and under way to address them. For instance, the CIO is
developing a proposal for director approval that merges responsibility and
authority for IT management, including integration planning, within the
CIO's office. The longer the bureau continues to invest in systems without
an integrated bureauwide view, the greater the risk that these systems
will be duplicative and will require expensive rework to be integrated,
thus hampering efforts to transform the organization. This risk has become
a reality on five key ongoing infrastructure projects where, according to
the bureau, it has found significant overlap due to the lack of integrated
planning.
The bureau has established policies and procedures governing IT human
capital that are consistent with best practices used by leading private
and public organizations. Conversely, the bureau's policies and procedures
governing systems acquisition and investment selection and control are not
consistent with best practices, although efforts are planned and under way
to remedy this. For example, systems acquisition policies and procedures,
which are developed on a decentralized basis by the FBI's divisions and
other organizations that manage IT projects, varied in their use of key
practices of leading organizations. In addition, the bureau's investment
management policies and procedures, which started in 2001, have been
evolving and progressing slowly toward alignment with best practices.
According to FBI officials, including the CIO, the state of the bureau's
acquisition and investment management policies and procedures is due to a
number of factors, including diffused and decentralized IT management
authority and the bureau's past history of inattention to IT management.
The CIO has actions planned and under way to strengthen policies and
procedures in each of these critical areas. For example, the CIO is
developing a systems life cycle management approach for bureauwide use
that is to be fully consistent with the practices of leading
organizations. Until this and other CIO efforts are completed, the bureau
increases the risk that it will experience problems delivering promised IT
investments on time and within budget, which could, in turn, adversely
affect the bureau's systems modernization and organizational
transformation.
To help the bureau better manage these systems modernization risks, we are
making several recommendations to the FBI Director, including limiting the
bureau's near-term investment in new and existing IT systems until it
develops, among other things, an integrated systems modernization plan and
effective policies and procedures for systems acquisition and investment
management. We are also recommending that the Director provide the CIO
with the responsibility and authority to effectively manage IT across the
bureau.
In the FBI's written comments, which were signed by the CIO, on a draft of
this report, the bureau agreed that it is taking steps to lay a foundation
for improving IT operations. It further agreed that while progress is
being made, much work remains to implement and institutionalize planned
and ongoing IT management improvements. The FBI also described recent
actions and plans for addressing our recommendations.
Background The FBI is the primary investigative agency within the
Department of Justice. Its missions include investigating serious federal
crimes, protecting the nation from foreign intelligence and terrorist
threats, and assisting other law enforcement agencies. Approximately
12,000 special agents and 16,000 mission support personnel are located in
the bureau's Washington, D.C., headquarters and in more than 450 offices
in the United States and 45 offices in foreign countries.
Mission responsibilities at the bureau are divided among the following
five major organizational components.
o Criminal Investigations: investigates serious federal crimes and probes
federal statutory violations involving exploitation of the Internet and
computer systems.
o Law Enforcement Services: provides law enforcement information and
forensic services to federal, state, local, and international agencies.
o Counterterrorism and Counterintelligence: identifies, assesses,
investigates, and responds to national security threats.
o Intelligence: collects, analyzes, and disseminates information on
evolving threats to the United States.
o Administration: manages the bureau's personnel programs, budgetary and
financial services, records, information resources, and information
security.
Each component is headed by an executive assistant director who reports to
the Deputy Director, who, in turn, reports to the Director. The components
are further organized into subcomponents, such as divisions, offices, and
other groups (hereafter referred to as "divisions"). Table 1 lists the
components and briefly describes their respective divisions.
Table 1: FBI Components and Divisions and Their Mission Responsibilities
Component/division Mission responsibilities
Administration
Administrative Services Division Develop and administer personnel programs
and services, including recruiting, conducting background investigations,
and other administrative activities
Finance Division Administer budget and fiscal matters, including financial
planning, payroll services, property management, and procurement
activities
Information Resources Division Manage and plan for the use of IT resources
Office of Strategic Planning Manage the bureau's strategic planning
activities and provide organizational resource allocation and management
services
Program Management Office Support effective and efficient planning,
design, development, and deployment of projects, including IT projects
Records Management Division Provide direction and oversight for all
records policy and functions, including records maintenance and
disposition, records review and dissemination, and Freedom of Information
and Privacy Acts
Security Division Ensure safe and secure work environment, including
preventing the compromise of national security information
Counterterrorism and Counterintelligence
Counterintelligence Division Identify and neutralize ongoing national
security threats, including conducting foreign counterintelligence
investigations; coordinate investigations with the U.S. intelligence
community; and investigate violations of federal espionage statutes
Counterterrorism Division Prevent, disrupt, and defeat terrorist
operations before they occur; pursue sanctions for those who have
conducted, aided, and abetted terrorist acts; and provide crisis
management following acts of terrorism against the United States and U.S.
interests
Criminal Investigations
Criminal Investigative Division Investigate serious federal crimes,
including those associated with organized crime, violent crime,
white-collar crime, government and business corruption, and civil rights
violations
Cyber Division Probe federal statutory violations involving exploitation
of the Internet and computer systems for criminal, foreign intelligence,
and terrorism purposes
(Continued From Previous Page)
Component/division Mission responsibilities
Intelligence
Office of Intelligence Collect and analyze information on evolving threats
to the United States and ensure its dissemination within the FBI, to the
U.S. intelligence community, and to law enforcement
Law Enforcement Services
Criminal Justice Information Services Division Provide information
services on fingerprint identification, stolen automobiles, criminals,
crime statistics, and other information to state, local, federal, and
international law enforcement
Critical Incident Response Group Respond to and manage crisis incidents
such as terrorist activities, child abductions, and other repetitive
violent crimes
Investigative Technology Division Provide leadership and technical support
to FBI investigative efforts, including ensuring the operational
availability of modern technologies and the application of forensic
examination services related to the collection, processing, and
exploitation of digital evidence
Laboratory Division Perform forensic examinations in support of criminal
investigations and prosecutions, including crime scene searches, DNA
testing, photographic surveillance, expert court testimony, and other
technical services
Office of International Operations Promote relations with both foreign and
domestic law enforcement and security services, facilitate investigative
activities where permitted, and provide managerial support of the Legal
Attache Program
Office of Law Enforcement Coordination Improve coordination and
information sharing with state and local law enforcement and public safety
agencies
Training Division Train agents and support personnel as well as state,
local, international, and other federal law enforcement personnel in crime
investigation, law enforcement, and forensic investigative techniques
Source: GAO analysis of FBI data.
Supporting the divisions are various staff offices, including the Office
of the CIO. The CIO's responsibilities include, for example, development
of the bureau's IT strategic plan and operating budget; development of IT
investment management policies, processes, and procedures; and development
and maintenance of the bureau's enterprise architecture. The CIO reports
directly to the Director. Figure 1 shows a simplified organizational chart
of the components, divisions, Office of the CIO, and respective reporting
relationships.
Figure 1: Simplified FBI Organizational Chart
Planning
Administrative Services Counterintelligence
Criminal Investigative Office of Intelligence
Criminal Justice
Division Division Division Information
Services
Finance Division Counterterrorism Division Division
Cyber Division
Critical Incident
Information Resources Response
Division Group
Office of Strategic Investigative Technology
Division
Program Management Laboratory Division
Office Office of International
Records Management Operations
Division Office of Law Enforcement
Security Division Coordination
Training Division Source: GAO analysis of FBI data.
To execute its mission responsibilities, the FBI relies extensively on IT.
For example, the Criminal Justice Information Services (CJIS) division
uses the National Crime Information Center 2000 to process approximately 4
million criminal identification inquiries and other related transactions
for civilian, homeland security, and law enforcement agencies each day.
Similarly, the Laboratory division stores records of known criminals on
the Combined DNA1 Index System to compare with DNA evidence submitted by
federal, state, and local law enforcement agencies. The FBI reports that
it collectively manages hundreds of systems, networks, databases,
applications, and associated IT tools at an average annual cost of about
$800 million. As we have previously reported,2 the FBI's IT environment is
composed of outdated, nonintegrated systems that do not optimally support
mission operations.
FBI Has Initiated a Wide Range of IT Modernization Projects
To address its strategic IT needs, the bureau began modernizing its
systems environment in the mid-1990s. Currently, the FBI reports that
eight divisions will spend approximately $1 billion on 18 major3 IT
modernization initiatives between fiscal years 2003 and 2005. These
initiatives, such as Trilogy and the Investigative Data Warehouse, are to
introduce new systems infrastructure and applications. For example,
Trilogy is to establish an enterprise network to enable communications
among hundreds of domestic and foreign FBI locations. According to the
FBI, the first two segments of the project-the Transportation Network
Component and the Information Presentation Component-were implemented as
of April 2004. The third segment-the User Applications Component, commonly
called the Virtual Case File-has been delayed and a new schedule is being
determined. In addition, the Investigative Data Warehouse initiative is to
provide the capability to search and share counterterrorism and criminal
investigative information across the bureau;
1Deoxyribonucleic acid.
2GAO, Information Technology: FBI Needs an Enterprise Architecture to
Guide Its Modernization Activities, GAO-03-959 (Washington, D.C.: Sept.
25, 2003).
3Using Department of Justice guidance, the FBI defines a major system as
one that has an annual cost greater than $10 million, a total life cycle
cost greater than $50 million, or an annual cost greater than $500,000 for
financial information systems; is mandated for departmentwide use; has
significant multiple component impact for the department; has legal
requirements or designation as a congressional line item; or is high risk
or politically sensitive, as determined by the Justice CIO.
the FBI reports it is in the process of acquiring the warehouse and has
plans for full deployment by the end of fiscal year 2004.
Some divisions-such as CJIS, Cyber, and Investigative Technology-plan to
spend over $70 million each on IT modernization in fiscal year 2005 alone.
For instance, the Investigative Technology Division plans to spend
approximately $83 million in fiscal year 2005 on three major IT
initiatives: Digital Collection, Electronic Surveillance Data Management
System, and the Computer Analysis Response Team. Table 2 shows, by FBI
division, the major initiatives and their anticipated modernization
spending. A description of each initiative is provided in appendix II.
Table 2: Major IT Modernization Initiatives for Fiscal Years 2003-2005 by
Division
Dollars in millions
Anticipated spending
for fiscal years
Division/major IT modernization initiativesa 2003-2005
Counterterrorism
Foreign Terrorism Tracking Task Force $15.3
Criminal Justice Information Services
Integrated Automated Fingerprint Identification System 190.8
National Crime Information Center 2000 14.7
National Instant Criminal Background Check System 104.9
Cyber
Special Technologies Applications Section 149.4
Information Resources
Collaborative Capabilities
Legat/International Infrastructure 10.5
Sensitive Compartmented Information Operational Network 20.2
Investigative Technologies
Computer Analysis Response Team 105.1
Digital Collection 93.3
Electronic Surveillance Data Management System 26.6
Laboratory
Combined DNA Index System 22.8
Office of the CIO
Aurora 8.0
(Continued From Previous Page)
Dollars in millions
Program Management Office
Investigative Data Warehousing and Virtual Knowledge Base
Joint Terrorism Task Force, Information Sharing Initiative
Trilogy 110.9
Security
IT Security/Information Assurance 121.2
Security Management Information System
Total for all major IT modernization initiatives $1,066.8
Source: GAO analysis of FBI data.
aIncludes modernization initiatives that the FBI designated as major in
its budget requests for fiscal years 2003, 2004, or 2005.
Integrated Project Planning and Effective Policies and Procedures Are
Essential to Effectively Managing IT Modernization Efforts
Integrated planning across related IT projects and effective policies and
procedures for managing IT human capital, systems acquisitions, and
investment activities are recognized hallmarks of successful public and
private organizations, and they are essential ingredients for effectively
managing large modernization efforts. Our research and experience with
federal agencies has shown that executing modernization projects without
these and other IT management controls increases the chances of
implementing systems that are not well integrated and do not provide
promised capabilities on time and within budget.4
4See GAO, DOD Business Systems Modernization: Improvements to Enterprise
Architecture Development and Implementation Efforts Needed, GAO-03-458
(Washington, D.C.: Feb. 28, 2003); Business Systems Modernization: IRS
Needs to Better Balance Management Capacity with System Acquisition
Workload, GAO-02-356 (Washington, D.C.: Feb. 28, 2002); and Information
Technology: DLA Should Strengthen Business Systems Modernization
Architecture and Investment Activities, GAO-01-631 (Washington, D.C.: June
29, 2001).
The Congress and the Office of Management and Budget (OMB) have recognized
the importance of these and other IT management controls. The
Clinger-Cohen Act,5 for example, provides a framework for effective IT
management that includes systems integration planning, human capital
management, acquisition management, and investment selection and control.
In addition, OMB has issued guidance on integrated IT modernization
planning and effective IT human capital, acquisition, and investment
management.6 Further, organizations such as Carnegie Mellon University's
Software Engineering Institute have also issued guidance on effective
acquisition management practices for areas such as configuration
management, project management, quality assurance, requirements
development and management, and risk management.
Prior Reviews Have Identified Challenges Facing the FBI in Modernizing Its
IT Environment
Over the past several years, reviews of the FBI's efforts to leverage IT
to support transformation efforts have identified management weaknesses.
In particular, a December 2001 report7 initiated by the Department of
Justice identified weaknesses with, for example, the bureau's systems
acquisition and human capital management processes. The weaknesses
included not having (1) a policy that ensures consistent implementation of
configuration management activities, (2) processes to ensure adequate
definition of system requirements, and (3) an agencywide systems life
cycle methodology. The report also noted that the FBI had not assessed the
current skills of its employees on an ongoing basis, and it did not have a
systematic approach for identifying the skills and abilities needed for
the future.
5Clinger-Cohen Act of 1996, 40 U.S.C. S:S:11101-11703.
6See Office of Management and Budget, Management of Federal Information
Resources, Circular A-130 (Washington, D.C., Nov. 28, 2000) and Planning,
Budgeting, Acquisition, and Management of Capital Assets, Circular A-11,
Part 7 (Washington, D.C., July 2003).
7Arthur Andersen, LLP, Management Study of the Federal Bureau of
Investigation (Dec. 14, 2001).
In December 2002, Justice's Office of the Inspector General reported8 that
the FBI was not effectively managing its IT investments. Specifically, the
Inspector General reported that the bureau did not have a complete process
for selecting new IT investments and was not following a disciplined
process for controlling ongoing projects. To address this, the Inspector
General made a series of recommendations aimed at implementing the
processes and practices defined in our IT investment management
framework.9 In a January 2004 follow-on report,10 the Inspector General
stated that, while the bureau had developed plans to address these
recommendations, full development and implementation of the plans-and thus
the establishment of effective investment management processes-remained to
be completed.
8U.S. Department of Justice Office of the Inspector General, Federal
Bureau of Investigation's Management of Information Technology
Investments, Report 03-09 (Washington, D.C., December 2002).
9GAO, Information Technology Investment Management: A Framework for
Assessing and Improving Process Maturity, Exposure Draft, GAO/AIMD-10.1.23
(Washington, D.C.: May 2000). In March 2004, GAO updated this version:
Information Technology Investment Management: A Framework for Assessing
and Improving Process Maturity, version 1.1, GAO-04-394G (Washington,
D.C.: March 2004).
10U.S. Department of Justice Office of the Inspector General, Action
Required on the Federal Bureau of Investigation's Management of
Information Technology Investments, Audit Report Number 03-09,
(Washington, D.C., January 2004).
More recently, between September 2003 and March 2004, we reported11 on the
challenges the FBI faced in establishing effective IT modernization
management. For example, we reported in September 2003 (and again in
November) that the bureau had not yet developed a modernization
blueprint-commonly referred to as an enterprise architecture12-to guide
and constrain modernization efforts. Accordingly, we made recommendations
to help the bureau establish the architecture management capabilities
needed to develop, implement, and maintain an enterprise architecture. The
FBI agreed with our recommendations and is in the process of implementing
them. In addition, in March 2004,13 we reported that the FBI has not
benefited from having sustained IT management leadership with bureauwide
authority. Specifically, the bureau's key leadership and management
positions, including the position of the CIO, had experienced frequent
turnover, and the position of the CIO lacked bureauwide authority over IT.
We found that historically much of the responsibility and authority for
managing IT-including modernization planning, human capital management,
systems acquisition management, and investment selection and control-was
dispersed among the bureau's divisions. We did not make recommendations in
these areas at that time because our work to fully evaluate these areas
had not yet been completed.
11GAO, Information Technology: FBI Needs an Enterprise Architecture to
Guide Its Modernization Activities, GAO-03-959, (Washington, D.C.: Sept.
25, 2003); Federal Bureau of Investigation's Comments on Recent GAO Report
on its Enterprise Architecture Efforts, GAO-04-190R, (Washington, D.C.:
Nov. 14, 2003); and FBI Transformation: FBI Continues to Make Progress in
Its Efforts to Transform and Address Priorities, GAO-04-578T (Washington,
D.C.: Mar. 23, 2004).
12An enterprise architecture can be viewed as a blueprint that defines, in
logical or business terms and in technology terms, how an organization,
for example, operates today, how it intends to operate in the future, and
how it intends to invest in technology to transition to this future state.
13GAO-04-578T.
Shortfalls in the FBI's Centerpiece Systems Modernization Project Are
Linked to IT Management Weaknesses
Reviews of the bureau's centerpiece systems modernization project,
Trilogy, have identified management weaknesses as the cause for cost,
schedule, and performance shortfalls that have been experienced by the
project. For example, over the past several years, the Justice Inspector
General issued several reports14 on the FBI's management of Trilogy.
According to the Inspector General's September 2003 report,15 Trilogy
funding grew from an original estimate of $379.8 million to $596 million,
due in part to the lack of integration planning for one of the three
components of Trilogy. In addition, the Inspector General reported that
the original delivery date for Trilogy's first two components
(Transportation Network Component and Information Presentation Component)
slipped 8 months, in part due to inadequately defined requirements. In
March 2004, the Inspector General testified16 that the continued series of
missed completion estimates and associated cost growth were due to, among
other things, poorly defined requirements, project management
deficiencies, frequent turnover of FBI IT managers, and the FBI's focus on
its other important law enforcement challenges.
In addition, in September 2003, we reported17 that the bureau lacked an
enterprise architecture-a key component in developing and modernizing
systems. We found that the absence of the architecture contributed to
unnecessary rework to integrate several modernization initiatives,
including Trilogy. In March 2004, we testified18 that the bureau's
weaknesses in IT management controls, such as investment management and
enterprise architecture, contributed to Trilogy schedule delays of at
least 21 months and cost increases of about $120 million.
14U.S. Department of Justice Office of the Inspector General, The Federal
Bureau of Investigation's Implementation of Information Technology
Recommendations, Audit Report 03-36 (Washington, D.C., September 2003),
Audit Report 03-09, and Action Required on Audit Report 03-09.
15Inspector General Audit Report 03-36.
16U.S. Department of Justice Office of the Inspector General, Statement of
Glenn A. Fine, Inspector General, before the Senate Committee on
Appropriations, Subcommittee on Commerce, Justice, State and the
Judiciary, (Washington, D.C., Mar. 23, 2004).
17GAO-03-959.
18GAO-04-578T.
Moreover, the National Research Council reported19 in May 2004 that the
bureau was experiencing significant challenges in developing and
implementing Trilogy. For example, the council found that the bureau did
not have a permanent CIO with the technical knowledge to provide the
strong direction needed for the Trilogy program. In addition, it found
that modernization initiatives, such as Trilogy, were not closely linked
to a coherent view of the bureau's mission and operational needs. Based on
its findings, the council concluded that the bureau was not on the path to
success in its IT modernization program. In a follow-on letter,20 the
council cited substantial progress on these fronts. In particular, it said
that the bureau had hired a permanent CIO, and the CIO had identified the
development of an enterprise architecture as a high priority.
Integrated Project Planning across the FBI Is Not Yet Occurring, but
Improvements Are Planned
The Clinger-Cohen Act21 requires the use of effective IT management
practices such as organizationwide planning for the integration of
interrelated systems. In addition, OMB provides guidance to federal
agencies on such planning.22 As part of this planning, agencies are
supposed to identify, understand, and manage interdependencies within and
across individual IT systems modernization projects. Key elements of
effective integrated project planning include
o linking all IT projects to the organization's mission and related
strategic goals;
o identifying and demonstrating gaps in mission performance due to, among
other things, weak or nonexistent integration among existing projects,
services, systems, databases, networks, or tools;
o defining interdependencies among IT projects, including the business
processes to be supported and technical system interface requirements;
19National Research Council, A Review of the FBI's Trilogy Information
Technology Modernization Program, (Washington, D.C., May 10, 2004).
20National Research Council, follow-on report to A Review of the FBI's
Trilogy Information Technology Modernization Program, (Washington, D.C.,
June 7, 2004).
21Clinger-Cohen Act of 1996, 40 U.S.C. S:S:11101-11703.
22See Office of Management and Budget, Management of Federal Information
Resources, Circular No. A-130 (Washington, D.C., Nov. 28, 2000) and
Planning, Budgeting, Acquisition, and Management of Capital Assets,
Circular No. A-11, Part 7 (Washington, D.C., July 2003).
o assigning responsibilities and management structures for coordinating
and overseeing IT project interdependencies;
o identifying the risks associated with project interdependencies and
developing strategies to mitigate the risks; and
o ensuring that affected organizations provide input and commitment to
plan development and implementation.
Addressing these elements, among other things, identifies the points where
systems are to be integrated and establishes common ground for
interproject planning and management, which is essential to ensuring that
project plans-and thus system solutions-are effectively integrated. Our
prior reviews at federal agencies and research on IT management have shown
that attempting to modernize IT systems without performing such planning
increases the risk of investing in system solutions that are duplicative,
are not well integrated, are unnecessarily costly to maintain and
interface, and do not effectively optimize mission performance.
Accordingly, until agencies develop integrated approaches, we have
recommended23 limiting IT spending to cost-effective efforts that are
congressionally directed; are near-term, relatively small, and low-risk
opportunities to leverage technology in satisfying a compelling agency
need; support operations and maintenance of existing mission-critical
systems; involve deploying an already developed and fully tested system;
or support establishing integrated planning and other modernization
management controls and capabilities.
The FBI does not have a bureauwide integrated plan or set of plans for its
many systems modernization projects. Instead, divisions have developed
modernization plans covering solely those IT projects that are within
their respective lines of authority. These plans include (1) division
plans that describe to varying degrees how IT projects are to be executed
to support the accomplishment of division-specific objectives and (2)
capital asset plans and business cases-commonly referred to as budget
Exhibit 300s- that justify the resources needed for the division's major
IT projects. However, these plans are not integrated and do not
consistently
23See GAO, Information Technology: Homeland Security Should Better Balance
Need for System Integration Strategy with Spending for New and Enhanced
Systems, GAO-04-509 (Washington, D.C.: May 21, 2004), and Tax Systems
Modernization: Blueprint Is a Good Start, but Not Yet Sufficiently
Complete to Build or Acquire Systems, GAO/AIMD/GGD-9854 (Washington, D.C.:
Feb. 24, 1998).
demonstrate the elements of integrated IT project planning. Specifically,
of the six FBI divisions we examined, two divisions-Cyber and CJIS-
included the majority of the elements of integrated project planning,
while the other four divisions each incorporated two or fewer of the
elements. Table 3 summarizes our analysis.
Table 3: Extent to Which Divisions' Plans Address Modernization Planning
Elements Division
Program Information Investigative Management Cyber CJIS Resources
Technology Office Security
Link projects to mission and ✔ ✔
strategic goals
Identify and demonstrate ✔ ✔
performance gaps
Define interdependencies ✔ ✔
among projects
Assign responsibility for ✔ ✔
managing project
interdependencies
Identify risks with ✔ ✔ ✔ ✔
interdependencies and develop
strategies to mitigate the
risks
Ensure affected organizations ✔ ✔
provide input and
are committed
Source: GAO analysis of FBI data.
Note: ✔ indicates criteria met.
More specifically, our analysis for each of the modernization planning
elements showed the following:
o With respect to the first element, two divisions-Cyber and the Program
Management Office-consistently linked their projects to either the
bureau's strategic plan or its top 10 priorities. The other divisions
linked at least some of their individual projects to bureau-level
strategy. Linking individual projects to the FBI's strategic plan is an
essential step to ensuring that the bureau IT initiatives do not overlap
or leave gaps in mission functions and goals.
o Only two divisions (CJIS and Security) identified and demonstrated gaps
in existing capabilities. CJIS undertook an analysis of system
deficiencies and technology trends to identify and specify improvements to
its law enforcement systems. Security relied on prior reviews of security
incidents and comparisons of existing practices with best practices to
identify needed improvements in system security requirements. Other
divisions largely stated the need for improvements in system capabilities
and capacity without corresponding data on current or projected mission
shortfalls. This is crucial because without supporting data to derive
performance gaps, proposed improvements may be unnecessary, insufficient,
or not identified at all. In addition, our research and experience24 with
federal IT modernizations show that projects with inadequately defined
improvements are likely to require more resources to plan and
manage-including planning and management of interdependencies-than those
that have been based on reliable performance data and thorough analysis.
o All of the divisions addressed the third element, in part, but only two
divisions-Cyber and CJIS-fully identified interdependencies for all of
their projects. For example, CJIS identified interrelationships among
business processes, systems, databases, networks, components, and tools.
The Investigative Technology Division, on the other hand, did not
consistently identify interdependencies for tools, networks, or security.
In addition, Security did not fully identify technical and programmatic
interdependencies. Identifying project interdependencies is essential for
recognizing the points of integration of projects and systems and for
establishing common ground for interproject planning and management.
o The CJIS and Security divisions had the most robust mechanisms for
coordinating their project interdependencies with other parts of the
bureau and with external organizations. CJIS relies on its Advisory Policy
Board to identify needed improvements, assess impacts to customers and
their systems, and coordinate schedules and interfaces. Security
collaborates with system owners and managers through
24See, for example, GAO, DOD Business Systems Modernization: Improvements
to Enterprise Architecture Development and Implementation Efforts Needed,
GAO-03-458 (Washington, D.C.: Feb. 28, 2003); Business Systems
Modernization: IRS Needs to Better Balance Management Capacity with System
Acquisition Workload, GAO-02-356 (Washington, D.C.: Feb. 28, 2002); and
Information Technology: DLA Should Strengthen Business Systems
Modernization Architecture and Investment Activities, GAO-01-631
(Washington, D.C.: June 29, 2001).
division configuration and change control boards, the security
certification and accreditation process, and other mechanisms to integrate
its security projects and information assurance objectives. Both divisions
have well-defined responsibilities for their project team members. Other
divisions focused on coordination within individual project teams or a
single division, leaving mechanisms for interacting with other divisions,
systems, and technologies poorly defined. This is important because vague
responsibilities and processes for managing project integration efforts
can lead to omissions and conflicts in system interfaces and project
activities.
o The fifth element was satisfied by four of the six divisions.
Specifically, Cyber, CJIS, Investigative Technology, and the Program
Management Office consistently addressed integration risks in their
capital asset plans and business cases. Doing this is important because it
allows for the systematic identification of risks associated with project
interdependencies and management action to mitigate those risks.
o Finally, the CJIS and Cyber divisions enlisted participation and
commitment from organizations affected by their projects and related
system improvements. For instance, CJIS partnered with the advisory boards
and councils, the vendor community, and the nation's criminal justice
community in successfully developing its systems. Other divisions, such as
Investigative Technology and the Program Management Office, fell short of
meeting this criterion because they did not consistently specify a means
for project personnel to collaborate with other stakeholders on the
development of integrated project plans. Establishing such a means for
knowledgeable personnel to contribute to planning for interdependencies in
areas such as project requirements, interfaces, and timetables is key to
ensuring stakeholder commitment to project integration plans and their
execution.
FBI officials from each of the divisions agreed with the results of our
analyses of their respective planning efforts and attributed the state of
their planning to several factors. First, as we previously reported,25 the
FBI does not have an enterprise architecture, and thus business processes
and IT systems have been viewed parochially, rather than as corporate
resources that must be planned and managed on a bureauwide basis. Second,
no bureau policy exists for divisions to develop integrated IT project
plans.
25GAO-03-959.
Instead, existing policy assigns responsibility for IT planning, including
planning for modernization projects, to divisions. Third, the bureau has
not assigned responsibility and authority for ensuring that integrated
bureauwide planning occurs. While the divisions are responsible for
project planning, no organization is responsible for reviewing and
approving the divisions' plans to ensure that mission gaps across the
bureau are fully addressed and project dependencies and overlap are
minimized.
According to the CIO, several efforts are underway and planned to address
these underlying weaknesses and strengthen modernization planning.
Consistent with our prior recommendations, the FBI has established a
program to develop an enterprise architecture. In doing so, the bureau
has, among other things, (1) established a program office to manage the
effort, (2) assigned a chief architect and supporting personnel, (3)
established an architecture governance board that includes representatives
from all divisions to review and identify projects that are inconsistent
with the existing IT environment and inhibit internal and external
information sharing, and (4) hired a contractor to assist with developing
the architecture. The bureau plans to issue the first version of the
architecture by the end of September 2004. This version is to document the
bureau's current IT environment. The bureau plans to issue the other key
parts of the architecture-namely, the future IT operating environment and
transition plan-in fiscal year 2005.
Also, the CIO is in the process of merging agencywide authority and
responsibility for IT, including systems modernization planning, under the
CIO in time to be reflected in the bureau's fiscal year 2006 budget and
associated capital investment plans and business cases. Further, the CIO's
office intends to hire a contractor to facilitate bureauwide integrated
planning, including the formulation of integrated plans for systems
modernization projects.
Until the FBI completes these and other efforts to introduce an integrated
approach to IT project planning, there is increased risk that the bureau's
IT systems will be unnecessarily duplicative, will later require expensive
rework to be integrated, and will thus hamper organizational
transformation efforts. According to the FBI, this risk has already become
reality in the case of five key infrastructure projects (including Trilogy
and the Integrated Data Warehouse) that were launched independently
between May 2001 and June 2003 and later found to have significant areas
of overlap. The FBI attributed the redundancy in part to the lack of
integrated planning.
Policies and Procedures Governing Key Systems Modernization Management
Capabilities Are Partially in Place and Further Improvements Are Planned
Establishing effective corporate policies and procedures for managing IT
human capital, acquiring systems, and making investment decisions are
examples of key best practices that leading organizations use to modernize
their IT systems and facilitate organizational transformation. The FBI has
such policies and procedures for managing IT human capital; however, it
does not yet have a documented and consistent approach for acquisition and
investment management. Specifically, adoption of best practices for
acquisition management policies and procedures in such areas as
configuration management and quality assurance varies among divisions, and
bureau investment management policies and procedures, including selection
and control processes, are still under development. The state of the FBI's
acquisition and investment management policies and procedures is due to a
number of factors, including diffused and decentralized IT management
authority, past inattention to IT management, and lack of sustained IT
leadership. The CIO has recently taken steps to strengthen policies and
procedures in each of these areas. Until this is completed, the bureau
will be challenged in its ability to effectively manage all of its systems
modernization projects, and thus is at increased risk of acquiring systems
that do not adequately satisfy mission needs on schedule and within
budget, which could hamper the bureau's systems modernization and
organizational transformation.
Strategic IT Human Capital Management Policies and Procedures Have Been
Developed
As we have previously reported,26 strategic human capital management
includes viewing people as assets whose value to an organization can be
enhanced by investing in them. As the value of people increases, so does
the performance capacity of the organization. In March 2002, GAO, based on
our experience with leading organizations, issued a model27 with four
cornerstones28 encompassing strategic human capital management. One of the
cornerstones, strategic workforce planning (also called strategic human
capital planning), enables organizations to remain aware of and be
prepared for current and future needs as an organization, ensuring that
they have the knowledge, skills, and abilities needed to pursue their
missions. In December 2003, GAO issued a set of key principles, or
practices, for effective strategic human capital planning.29 These
practices include
o involving top management, employees, and other stakeholders in
developing, communicating, and implementing a strategic workforce plan;
o determining the critical skills and competencies that will be needed to
achieve current and future programmatic results;
o developing strategies that are tailored to address gaps between the
current workforce and future needs;
o building the capability to support workforce strategies; and
o monitoring and evaluating an agency's progress toward its human capital
goals and the contribution that human capital results have made to
achieving programmatic goals.
26See GAO, Human Capital: Attracting and Retaining a High-Quality
Information Technology Workforce, GAO-02-113T (Washington, D.C.: Oct. 4,
2001); A Model of Strategic Human Capital Management, GAO-02-373SP
(Washington, D.C.: Mar. 15, 2002); and Key Principles for Effective
Strategic Workforce Planning, GAO-04-39 (Washington, D.C.: Dec. 11, 2003).
27GAO-02-373SP.
28The four human capital cornerstones are leadership; strategic human
capital planning; acquiring, developing, and retaining talent; and
results-oriented organizational cultures.
29GAO-04-39.
These practices are generic and apply to any organization or
organizational component, such as an agency's IT organization.
The bureau has developed IT human capital policies and procedures and
incorporated them into the bureau's enterprisewide strategic human capital
plan issued in March 2004.30 These IT policies and procedures are in
alignment with the key best practices discussed above. For example, they
call for top management stakeholders (e.g., the CIO, the head of the
Office of Strategic Planning, and the head of Administration) and other
stakeholders (e.g., section and unit chiefs) to be involved with the
development, communication, and implementation of these policies and
procedures. Further, the policies and procedures provide for the
development of a detailed data bank to store critical skills needed in the
development and selection of personnel, including IT staff. They also
define strategies to address workforce gaps, including recruiting programs
that provide for tuition assistance and cooperative education. In
addition, the policies and procedures call for establishing an IT center
to support workforce strategies and train existing personnel for future
competencies and skills that will be needed. Further, the policies and
procedures require monitoring and evaluating the agency's progress by
tracking implementation plans to ensure that results are achieved on
schedule.
The FBI will face challenges as it implements its strategic IT human
capital policies and procedures. As we have previously reported,31 when
implementing new human capital policies and procedures, how it is done,
when it is done, and the basis on which it is done can make all the
difference in whether such efforts are successful. With successful
implementation, the bureau can better position itself to ensure it has the
right people, in the right place, at the right time to effectively
modernize IT and transform the organization.
30Federal Bureau of Investigation, FBI Strategic Human Capital Plan
(Washington, D.C., March 2004).
31GAO-04-578T.
Use of Best Practices in Systems Acquisition Policies and Procedures
Varies Widely among the Divisions
The Clinger-Cohen Act32 requires, among other things, the establishment of
effective IT management policies and procedures. The Software Engineering
Institute's Capability Maturity Models(TM)33 provide for 30 best practice
policies and procedures for five key systems acquisition management
areas-configuration management, project management, quality assurance,
requirements development and management, and risk management.
Collectively, these management areas and associated best practices provide
a foundation for
o acquiring systems that allow organizations to manage changes to the
system configurations;
o tracking project cost, schedule, and performance;
o defining standards to ensure integrity in products;
o establishing clearly defined and managed requirements; and
o identifying and mitigating risks.
Each management area has five to seven best practices associated with it
that, when properly defined and implemented, assist organizations in
performing effectively in that area. A detailed list of the practices, by
management area, is in appendix III.
The acquisition management policies and procedures currently in place at
the FBI for these five areas vary widely by division. While each of the
six divisions we examined has policies and procedures that incorporate
many best practices, these divisions' policies and procedures also do not
address important practices. For example, in project management, the
divisions' policies and procedures generally addressed all of the best
practices. Conversely, in requirements development and management, four of
the six
32Clinger-Cohen Act of 1996, 40 U.S.C. S:S:11101-11703.
33Carnegie Mellon University's Software Engineering Institute has
developed criteria, known as the Software Acquisition Capability Maturity
Model (CMU/SEI-99-TR-002, April 1999) and Key Practices of the Capability
Maturity Model (CMU/SEI-93-TR-25, February 1993) for determining
organizations' software acquisition management and development
effectiveness or maturity. Capability Maturity Model and CMM are
registered in the U.S. Patent and Trademark Office.
divisions' policies and procedures addressed fewer than half of the best
practices for that area. See figure 2 for a summary of our analysis.
The FBI attributed the variance among divisions and the lack of alignment
with best practices to, among other things, the bureau's decentralized
approach to managing IT and past inattention given to IT management. Until
recently, authority for managing IT, along with budget control, was
diffused and decentralized among the divisions. In addition, the FBI did
not establish bureauwide policies and guidance for developing systems
acquisition policies and procedures consistently and in accordance with
best practices. As such, the divisions defined policies and procedures
independently from one another, contributing to different sets of policies
and procedures.
To strengthen the FBI's systems acquisition capabilities, the CIO has
efforts planned and under way to define and implement bureauwide systems
acquisition policies and procedures that are to incorporate best
practices. Until this is accomplished, the bureau will be challenged in
its ability to manage all of its systems modernization projects and thus
is at increased risk that it will be unable to deliver promised
capabilities on time and within budget.
Figure 2: Extent to Which Six FBI Divisions' Systems Acquisition Policies
and Procedures Address Best Practices
Number of systems acquisition best practices
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Practices not addressed Practices addressed Source: GAO analysis of FBI
data.
The analyses in the following sections show the variance among divisions
in their use of best practices for the five acquisition management areas:
configuration management, project management, quality assurance,
requirements development and management, and risk management. An analysis
of each division is in appendix III.
Configuration Management Configuration management involves identifying the
configuration (i.e., descriptive characteristics of a system) at a given
point in time, systematically controlling changes to that configuration,
and maintaining the integrity of the configuration throughout the system's
life cycle. Effective policies and procedures for configuration
management34 include the following practices:
1. defining roles and responsibilities, including identifying a person or
group with authority for managing a system's baselines and approving
changes to the baselines;
2. developing a plan that defines the activities to be performed, the
schedule of the activities, and the resources required (e.g., staff);
3. establishing a repository (also called a library), using tools and
procedures to store and retrieve the configuration and to maintain control
over changes to it;
4. identifying, documenting, managing, and controlling configuration items
and their associated baselines;
5. managing system change requests and problem reports by ensuring that
configuration changes are initiated, recorded, reviewed, approved, and
tracked;
6. periodically reporting status of the configuration; and
7. periodically auditing baselines, including assessing the integrity and
correctness of baselines, reporting audit results, and tracking audit
action items to closure.
The policies and procedures for three of the six divisions addressed these
seven best practices, while policies and procedures for two divisions
addressed all but one or two of the practices. The remaining division's
policies and procedures addressed just one of the seven practices. See
figure 3 for a summary of our analysis.
The key practices that are not addressed in division policies and
procedures are important and their absence can negatively impact the
34See Key Practices of the Capability Maturity Model (CMU/SEI-93-TR-025,
February 1993).
divisions' ability to effectively manage the configuration of their
respective systems and thus their systems' ability to efficiently and
effectively support division objectives. In particular, Investigative
Technology's policies and procedures did not identify configuration
management roles and responsibilities. This is important because project
teams need to have a responsible party for approving and controlling
changes. To do otherwise would allow anyone to make random changes to the
configuration, potentially causing unnecessary rework and reconfiguration.
As another example, this division's policies and procedures did not
establish a library system. This is also critical to successful
configuration management because the library system stores the initial
configuration of the system as well as any subsequent changes. Without the
library system, the project team would be unable to ensure the correctness
of the current configuration.
In addition, the Program Management Office's policies and procedures did
not provide for periodic baseline auditing and periodic management review
of the status of configuration management activities. These practices are
important because they verify that projects are in compliance with
applicable configuration management standards and procedures, and they
provide awareness of and insight into systems process activities at the
appropriate level and in a timely manner.
Figure 3: Extent to Which Six FBI Divisions' Systems Acquisition Policies
and Procedures Address Configuration Management Best Practices
Number of configuration management best practices 7
6
5
4
3
2
1
0
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FBI divisions and units
Practices not addressed
Practices addressed Source: GAO analysis of FBI data.
Project Management The purpose of project management is to manage the
activities of the project office and supporting organization to ensure a
timely, efficient, and effective acquisition. Effective policies and
procedures for project management35 include the following practices:
1. identifying project management roles and responsibilities;
2. developing a project management plan;
35See Software Acquisition Capability Maturity Model (CMU/SEI-99-TR-002, April
1999).
3. baselining and tracking the status of project cost, schedule, and
performance, including associated risks;
4. establishing a process to identify, record, track, and correct problems
discovered during the acquisition; and
5. periodically reviewing and communicating the status of project
management activities and commitments with management and affected groups.
The policies and procedures for five of the six divisions addressed all
five of these project management practices; one division did not address
two practices. Specifically, Cyber's policies and procedures did not
identify processes for baselining and tracking project cost, schedule,
performance status, and associated risks. See figure 4 for a summary of
our analysis. This practice is important because it provides measurable
benchmarks against which to gauge progress, identify deviations from
expectations, and permit timely corrective action to be taken. Without
this practice, the chances of system projects costing more than budgeted,
taking longer than envisioned, and not performing as intended are greatly
increased. The division's policies and procedures also did not provide for
a process to identify, record, track, and correct problems. This practice
is important because it provides for systematically managing and
controlling issues that impact cost, schedule, or performance.
Figure 4: Extent to Which Six FBI Divisions' Systems Acquisition Policies
and Procedures Address Project Management Best Practices
Number of project management best practices 5
4
3
2
1
0
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Practices not addressed
Practices addressed
Source: GAO analysis of FBI data.
Quality Assurance Quality assurance describes processes for providing
independent assessments of whether management process requirements are
being followed and whether product standards and requirements are being
satisfied. Effective quality assurance policies and procedures36 include
the following practices:
1. identifying quality assurance roles and responsibilities;
36See Key Practices of the Capability Maturity Model (CMU/SEI-93-TR-025,
February 1993).
2. having a quality assurance plan;
3. participating in the development and review of plans, standards, and
procedures;
4. reviewing work activities and products;
5. documenting and handling deviations from standards and procedures that
are found in activities and work products; and
6. periodically reporting and reviewing the results and findings of
quality assurance activities with management.
One division has incorporated these six quality assurance practices in its
policies and procedures; the remaining five divisions included all but one
or two. See figure 5 for a summary of our analysis. For example, the
policies and procedures for Counterterrorism and Information Resources do
not address participating in the development and review of plans,
standards, and procedures, which is key to ensuring that they are aligned
with relevant systems acquisition policies, are appropriately tailored to
meet project needs, and are usable for performing quality reviews and
audits. In addition, the policies and procedures for Cyber, Investigative
Technology, and the Program Management Office do not include periodic
reporting and reviews of the results and findings of quality assurance
activities. This practice is important to ensuring that issues and
concerns that could impede quality outcomes are disclosed so that
appropriate corrective action can be taken. If they are not disclosed, the
chances of system cost, schedule, and performance shortfalls are
increased.
Figure 5: Extent to Which Six FBI Divisions' Systems Acquisition Policies
and Procedures Address Quality Assurance Best Practices
Number of quality assurance best practices 6
5
4
3
2
1
0
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Practices not addressed
Practices addressed
Source: GAO analysis of FBI data.
Requirements Development and Requirements development and management
involves establishing and
Management maintaining agreement on what the system is to do
(functionality), how well it is to do it (performance), and how it is to
interact with other systems (interfaces). Effective policies and
procedures for requirements development and management37 include the
following practices:
37See Software Acquisition Capability Maturity Model (CMU/SEI-99-TR-002, April
1999).
1. identifying requirements development and management roles and
responsibilities;
2. involving end users in development of and changes to requirements;
3. having a requirements management plan;
4. developing and baselining requirements, and controlling changes to
them;
5. appraising changes to requirements for their impact on the project or
IT environment;
6. maintaining traceability among requirements and other project
deliverables; and
7. periodically reviewing the status of requirements activities with
management.
With one exception (CJIS), the policies and procedures for the divisions
generally did not address the above practices. See figure 6 for a summary
of our analysis. For instance, while the Program Management Office's
policies and procedures met four of the seven practices, such as involving
end users in development of and changes to the requirements and reviewing
the status of project requirements activities with management, they did
not address maintaining traceability among requirements and other project
deliverables. This practice is important because it ensures that project
deliverables used to acquire systems are consistent with end user needs,
which is critical to delivering systems that perform as intended and thus
meet mission needs.
Moreover, the policies and procedures of four divisions-namely
Counterterrorism, Cyber, Information Resources, and Investigative
Technology-satisfied three or fewer of the practices. For example, none of
the four divisions' policies and procedures addressed appraising changes
to requirements for their impact on the project or the IT environment.
Appraising changes is important because it allows management and the
project team to determine whether changes to the requirements, along with
their associated effect on the existing IT environment as well as project
cost and schedule estimates, would be worthwhile. Additionally,
Investigative Technology was missing six of seven practices, including
developing and baselining requirements and maintaining them under
change control. These practices are essential to ensuring that
requirements are completely and correctly defined and that uncontrolled
changes, commonly referred to as "requirements creep," are mitigated.
Figure 6: Extent to Which Six FBI Divisions' Systems Acquisition Policies
and Procedures Address Requirements Development and Management Practices
Number of requirements development and management best practices
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Practices not addressed
Practices addressed
Source: GAO analysis of FBI data.
The actual consequences of not having effective requirements development
and management policies and procedures can be seen in the performance of
the bureau's Trilogy project, which is to replace aging systems
infrastructure and consolidate and modernize key investigative case
management applications. The FBI reported that, as of August 2004, Trilogy
has experienced a delay of at least 21 months and a cost increase of $201
million. According to the CIO, the project's added time and cost were due
in large part to requirements development and management process
weaknesses.
Risk Management Managing risks means proactively identifying facts and
circumstances that increase the probability of failing to meet system
expectations and commitments and taking steps to prevent failures from
occurring. Effective policies and procedures for risk management38 include
the following practices:
1. identifying risk management roles and responsibilities;
2. having a risk management plan;
3. integrating risk management with other management and planning
functions;
4. identifying, analyzing, controlling, and mitigating project risks; and
5. periodically reviewing the status of project risks and risk mitigation
activities with management.
The policies and procedures of all six divisions incorporate two or more
of the five risk management best practices. See figure 7 for a summary of
our analysis. However, key practices were not addressed. For example, all
of the divisions' policies and procedures do not provide for integrating
risk management with other planning and management functions. This
practice is important because it ensures that possible risks and
mitigation strategies are adequately provided for in project planning
schedule estimates and identified risks are assessed for impact to the
organization's IT environment. In addition, the policies and procedures of
Counterterrorism, Cyber, and Information Resources do not provide for
periodically reviewing the status of project risks and risk mitigation
activities with management, a process that is key to ensuring that
management is aware of risks to the project, plans to mitigate these
risks, and the status and progress of mitigation activities.
38See Software Acquisition Capability Maturity Model (CMU/SEI-99-TR-002, April
1999).
Figure 7: Extent to Which Six FBI Divisions' Systems Acquisition Policies
and Procedures Address Risk Management Best Practices
IT Investment Management Policies and Procedures Are Evolving Slowly
toward Alignment with Best Practices
The Clinger-Cohen Act of 199639 provides an important framework for
effective investment management. It requires federal agencies to focus on
the results they achieve through IT investments while concurrently
improving their acquisition processes. It also requires discipline and
structure in how agencies select and control investments. In May 2000, we
issued a framework40 (which we updated in March 2004) that encompasses IT
investment management best practices, including investment selection and
control policies and procedures, and is based on our research at
successful private and public sector organizations. This framework is
consistent with the Clinger-Cohen Act and identifies, among other things,
effective policies and procedures for developing an enterprisewide
collection-or portfolio-of investments to enable an organization to
determine priorities and make decisions across investment categories based
on analyses of the relative organizational value and risks of all
investments. These portfolios include three types of IT investments-
planned (proposed systems or system enhancements), under way (systems
under development), and completed (existing systems). The framework also
calls for integrating and overseeing these investments to manage the
complete portfolio of investments.
The bureau's efforts to define IT investment policies and procedures are
evolving slowly toward alignment with best practices. Specifically,
according to officials from the CIO's office, the bureau has had three
separate and sequential efforts to develop its investment management
process. The first effort started in December 2001, when the bureau
developed an investment management and transition plan. This plan called
for establishing and defining bureau policies and procedures for the
select, control, and evaluate steps set forth in GAO's framework. In March
2002, the FBI completed the definition of select phase procedures and
began pilot testing them in developing its fiscal year 2004 IT budget
request for new investments and legacy (existing) system enhancements
bureauwide. The bureau completed the pilot in May 2002, but efforts to
further define policies and procedures for the control and evaluate phases
stalled and were not fully completed.
39Clinger-Cohen Act of 1996, 40 U.S.C. S:S:11101-11703.
40GAO, Information Technology Investment Management: A Framework for
Assessing and Improving Process Maturity, Exposure Draft, GAO/AIMD-10.1.23
(Washington, D.C.: May 2000). In March 2004, GAO updated this version:
Information Technology Investment Management: A Framework for Assessing
and Improving Process Maturity, version 1.1, GAO-04-394G (Washington,
D.C.: March 2004).
In early 2003, the bureau began its second effort-shifting focus on its
investment management process by initiating development of a new process
for investing in IT and other non-IT assets such as buildings and plant
equipment. According to officials from the CIO's office, development of
the process stalled at the end of 2003, before it could be fully
implemented.
In early 2004, the bureau started its third and current effort. The FBI
decided to have separate policies and procedures for IT due to the
differences in IT and non-IT investments. According to the CIO, the
bureau's current processes for IT investment management include one for
investments that are planned and under way and another for maintenance of
existing systems. The process for investments that are planned and under
way is still being defined. The CIO has established a program office and
has allocated staff, but the work is just beginning and is not planned to
be completed until the second quarter of fiscal year 2005. For existing
systems, the bureau developed a set of policies and procedures that define
a process to allocate operations and maintenance resources against
competing needs by assessing the performance of existing systems. The
bureau is piloting the process on different types of systems (e.g.,
application, infrastructure) with the goal of enterprisewide
implementation by April 2005. Between June and December 2003, the program
office tested the procedures on Information Resources application systems.
A second pilot was recently initiated in April 2004 on Information
Resources infrastructure systems, with the goal of completing the test by
November 2004. According to the CIO, the bureau has hired a contractor to
assist with enterprisewide rollout, which began in June, and is also in
the process of acquiring a tool to manage its IT investment portfolio.
According to bureau officials, including the current CIO, the slowly
evolving state of investment management is due in part to the fact that
the bureau CIO position, which is responsible for developing the requisite
policies and procedures, has had a high rate of turnover. Specifically,
the CIO has changed five times in the past 2 1/2 years. As a result,
development of investment management policies and procedures has not
benefited from sustained management attention and leadership, and thus has
shifted focus repeatedly and lagged. Until planned and ongoing
improvements are completed, the FBI will lack effective controls over its
IT investments and thus will be unable to ensure that the mix of
investments it is pursuing is the best to meet the bureau's goals for
modernizing IT and transforming the organization.
Improvements Are Planned for Developing Systems Modernization Management
Capabilities
The CIO has acknowledged the weaknesses in systems acquisition management
and investment management and has improvements planned to strengthen them.
For example, according to the CIO, the FBI is establishing a strategic
planning process as part of a bureauwide IT management effort. The CIO
also said that the results of the strategic planning process will be used
to guide the enterprise architecture and IT investment management. In
putting this process in place, the FBI has drafted an IT strategic plan
(to be issued in September 2004) that outlines ongoing and planned efforts
to strengthen both investment management and systems acquisition policies
and procedures by standardizing them across the bureau and incorporating
best practices such as GAO's investment management model and best
practices in configuration management and quality assurance. In addition,
the CIO has begun efforts to establish bureauwide requirements development
and management policies and procedures by developing a process for
requirements definition-the first step in developing requirements. The CIO
has also drafted a life cycle management process that is to integrate
systems acquisition management, investment management, and other key IT
domain areas, such as IT strategic planning and enterprise architecture.
According to the CIO, this integration is to be completed by the end of
2006.
These improvements, if properly defined and implemented, will increase the
FBI's modernization management capabilities. However, we remain concerned
about their completion for several reasons. First, the improvements have
yet to be completely defined and implemented. In addition, other key
ingredients to effective IT management-development of a modernization
blueprint and the establishment of integrated project planning-are not yet
in place. Further, as discussed earlier, the FBI has had problems
sustaining leadership and management attention for similar IT
improvements.
Conclusions The FBI is beginning to lay the management foundation needed
for comprehensive improvements in its systems modernization management
approach and capabilities. The foundational steps are in appropriate
areas, such as development of a modernization blueprint (enterprise
architecture), initiation of integrated project planning, and
establishment of IT management policies and procedures for human capital,
systems acquisition, and investment selection and control. However, the
steps still need to be fully defined and properly implemented across the
bureau to produce the integrated systems environment needed to optimally
support
mission needs and produce system investments that deliver expected
capabilities and mission benefits on time and within budget and thus
support the organizational transformation. This will require senior
executive leadership and commitment and provision of sufficient CIO
authority to fully define and institutionalize effective IT management
approaches and capabilities bureauwide. Such commitment includes vesting
accountability and responsibility for managing IT under the CIO- including
budget management control and oversight of IT programs and initiatives-and
aligning modernization planning and management policies and procedures
with the best practices of leading organizations. Until this occurs, the
bureau will remain challenged in its ability to effectively and
efficiently manage its systems modernization efforts, and thus its
near-term investments in modernized systems will remain at risk.
Recommendations for Executive Action
Until the bureau's IT management foundation is completed and available to
effectively guide and constrain the hundreds of millions of dollars it is
spending on IT investments, we recommend that the Director direct the
heads of the divisions to limit spending on their respective IT
investments to cost-effective efforts that
o are congressionally directed;
o take advantage of near-term, relatively small, low-risk opportunities
to leverage technology in satisfying a compelling bureau need;
o support operations and maintenance of existing systems critical to the
FBI's mission; or
o support establishment of the FBI's IT management foundation, including
the development of a modernization blueprint (enterprise architecture),
initiation of integrated project planning, and development of IT
management policies and procedures for systems acquisition and investment
selection and control.
In establishing the management foundation, we recommend that the FBI
Director provide the CIO with the responsibility and authority for
managing IT bureauwide, including budget management control and oversight
of IT programs and initiatives.
In addition, we recommend that the FBI Director, with assistance from the
CIO, ensure that future and ongoing modernization plans and efforts are
effectively integrated by taking five actions: (1) establishing a
bureauwide requirement (policy) to develop an integrated plan (or set of
plans) for modernization investments, (2) developing corresponding
guidance on plan contents and scope, (3) ensuring the appropriate
resources and training are available to implement policy and guidance, (4)
assigning responsibility and accountability for developing the plans, and
(5) assigning responsibility and accountability to the CIO for reviewing
the plans to ensure adherence to the policy and guidance, including
alignment with the bureau's enterprise architecture.
We also recommend that the FBI Director, with the CIO's assistance, take
four actions to ensure that the bureau establishes effective policies and
procedures for systems acquisition and investment management selection and
control. With regard to systems acquisition, we recommend (1) correcting
the weaknesses in configuration management, project management, quality
assurance, requirements development and management, and risk management
policies and procedures described in this report's body and detailed in
appendix III and implementing the resulting changes accordingly; and (2)
assessing the other divisions that manage IT investments to determine
whether their policies and procedures align with best practices and, to
the extent there are gaps, correcting them. With regard to IT investment
management, we recommend (3) developing the bureau's investment management
processes in accordance with key IT investment decision-making best
practices, such as GAO's IT investment management framework; and (4)
identifying, and acting on, options for speeding up their implementation.
Agency Comments and Our Evaluation
In its written comments on a draft of this report, which were signed by
the CIO and are reprinted in appendix IV, the FBI agreed that the bureau
is taking steps to lay the management foundation for improving IT
operations. The FBI also agreed that, while progress is being made, much
work remains to implement and institutionalize planned and ongoing IT
management improvements. It stated that our recommendations are consistent
with the FBI's internal reviews and with those of other oversight
entities. In addition, the FBI described actions planned and under way to
address our recommendations and provided technical comments, which we have
incorporated, as appropriate, in the report.
We are sending copies of this report to the Chairman and Vice Chairman of
the Senate Select Committee on Intelligence, and the Chairman and Vice
Chairman of the House Permanent Select Committee on Intelligence. We are
also sending copies to the Attorney General; the Director, FBI; the
Director, Office of Management and Budget; and other interested parties.
The report will also be available without charge on GAO's Web site at
http://www.gao.gov.
Should you have any questions about matters discussed in this report,
please contact me at (202) 512-3439 or by e-mail at [email protected]. Key
contributors to this report are listed in appendix V.
Randolph C. Hite Director, Information Technology Architecture
and Systems Issues
Appendix I
Objectives, Scope, and Methodology
As agreed with your offices, our objectives were to examine whether the
FBI has (1) an integrated plan for modernizing its IT systems, and (2)
effective policies and procedures governing management of IT human
capital, systems acquisition, and investment selection and control. For
the first objective, we focused on the bureau's IT modernization plan and
supporting documents. In light of the FBI's response that its divisions
were responsible for modernization planning, we included six divisions in
our scope of work-Criminal Justice Information Services (CJIS), Cyber,
Information Resources, Investigative Technology, the Program Management
Office, and Security-because they had the largest planned or ongoing IT
modernization investments. For the second objective, we focused on the
bureau's policies and procedures for IT human capital, systems
acquisition, and investment selection and control. In response to this
request, bureau officials told us that systems acquisition policies and
procedures were developed within each division. To obtain a crosscutting
sample, we analyzed the systems acquisition policies and procedures of at
least one division with major IT modernization investments from each of
the components,1 based on funding for fiscal years 2003 through 2005;
thus, the scope for systems acquisition included Counterterrorism, CJIS,
Cyber, Information Resources, Investigative Technology, and the Program
Management Office.
To address the first objective-determining whether the FBI had an
integrated plan or set of plans for modernizing its IT systems-we reviewed
program plans, IT capital asset plans and business cases (commonly called
Exhibit 300s), and other supporting documentation from each of the six
divisions, as well as the bureau's strategic plan, draft IT strategic
plan, and information sharing strategy, and then compared this
documentation with Office of Management and Budget (OMB) planning
guidance2 and our research and past experience on federal systems
modernizations to determine the extent to which the plans exhibited an
integrated approach to managing IT projects, including addressing project
interdependencies. We also interviewed FBI officials from these
organizations, as well as the Finance Division, Counterterrorism Division,
Counterintelligence Division, Office of Intelligence, and the Office of
the Chief Information Officer (CIO)
1There were no divisions from the Intelligence component included in our
scope because it was recently formed in January 2003, and Intelligence
officials stated that they were not yet managing any systems modernization
initiatives and they had not established polices and procedures to do so.
2See OMB Circular Nos. A-11 and A-130.
Appendix I
Objectives, Scope, and Methodology
to (1) verify and clarify our understanding of headquarters and division
modernization planning roles, processes, and products; (2) determine why
division plans did not fully satisfy the elements of effective
modernization planning; and (3) identify the effects of not having a fully
integrated modernization plan (or set of plans).
In addressing the second objective-determining whether the bureau has
effective policies and procedures governing management of IT human
capital, IT systems acquisition, and IT investment selection and control-
we assessed whether bureau policies and procedures were fully consistent
with the practices of successful private and public IT organizations and,
where appropriate, those specified in relevant federal IT management laws
and administrative guidance (e.g., OMB circulars and agency-specific rules
and regulations) that embody such best practices. A detailed description
of our methodology for each of these management controls and capabilities
is provided below.
To evaluate the bureau's policies and procedures in IT human capital
management, we analyzed the FBI's strategic human capital plan,
specifically those parts addressing IT human capital management. We then
compared the results of our analysis with best practices for strategic
workforce planning.3 We chose strategic workforce planning because it is
central to strategic human capital management for organizations, like the
FBI, that are in the early stages of transformation. In addition, these
practices apply to any organization or organizational component, such as
the bureau's IT organization. We also interviewed senior FBI officials,
including the CIO and the assistant director responsible for the bureau's
human capital effort, to verify and clarify our understanding of
headquarters and division human capital policies and procedures.
To determine whether the FBI has effective policies and procedures
governing management of IT systems acquisition, we compared divisionlevel
policies and procedures with best practices. In doing so, we focused on
the following key areas: configuration management, project management,
quality assurance, requirements development and management, and risk
management. We evaluated these areas because they are used throughout the
systems acquisition life cycle and are critical to the
3GAO, A Model of Strategic Human Capital Management, GAO-02-373SP
(Washington, D.C.: Mar. 15, 2002) and Key Principles for Effective
Strategic Workforce Planning, GAO04-39 (Washington, D.C.: Dec. 11, 2003).
Appendix I
Objectives, Scope, and Methodology
success of organizations, like the FBI, that are in the early stages of
systems modernization. Best practices for these areas are provided in the
Carnegie Mellon University Software Engineering Institute's Capability
Maturity Models.4 To document division policies and procedures, we
reviewed division-level management plans and handbooks, standard operating
procedures, common software processes, systems development life cycle
guidance, management group charters, and management plan templates. We
then compared the policies and procedures with best practices for the five
key management areas. In addition, we interviewed the CIO and FBI division
officials who were responsible for IT systems acquisition management to
(1) verify and clarify our understanding of division-level policies and
procedures in each of the five control areas; (2) identify planned and
ongoing initiatives to, among other things, improve systems acquisition
management across the bureau, including the definition and implementation
of a bureauwide systems life cycle management process that is to include
systems acquisition management policies and procedures consistent with
best practices; (3) determine why divisions varied in their use of best
practices; and (4) determine the effects of not having these practices in
place on ongoing and planned systems modernization initiatives.
To evaluate the bureau's IT investment management, including selection and
control, we reviewed the Inspector General's December 2002 report and
audit follow-up memoranda5 on the bureau's efforts to develop and
implement effective investment management processes. We also reviewed
bureau documents, including the draft IT strategic plan, on steps taken
since the Inspector General's 2002 report. Further, we interviewed the CIO
and officials from the CIO's office responsible for investment and
portfolio management to understand improvements under way and planned, why
progress has been slow, and the effect of not having effective policies
and procedures in place and operating while the bureau continues to make
large investments in modernized systems.
4See Software Acquisition Capability Maturity Model (CMU/SEI-99-TR-002,
April 1999) and Key Practices of the Capability Maturity Model
(CMU/SEI-93-TR-025, February 1993).
5U.S. Department of Justice Office of the Inspector General, Federal
Bureau of Investigation's Management of Information Technology
Investments, Report 03-09 (Washington, D.C., December 2002) and U.S.
Department of Justice Office of the Inspector General, Action Required on
the Federal Bureau of Investigation's Management of Information Technology
Investments, Audit Report Number 03-09, (Washington, D.C., January 2004).
Appendix I
Objectives, Scope, and Methodology
Finally, to verify our findings and validate our assessments, we met and
discussed with the CIO and the affected division officials our analysis of
the state of integration plans and IT management policies and procedures.
We performed our work at FBI headquarters in Washington, D.C., and at
field locations in Clarksburg, West Virginia, and Quantico, Virginia, from
November 2003 through July 2004, in accordance with generally accepted
government auditing standards.
Appendix II
Brief Descriptions of Major IT Systems Modernization Initiatives
Initiative Description of intended functions and services
Aurora Provide system architectural, engineering, development,
integration, and test services to complete the modernization of FBI
information technology.
Collaborative Capabilities Provide direct access to law enforcement and
intelligence databases from a collection of personal computers connected
through a common unclassified FBI local area network.
Combined DNA Index System Enable federal, state, and local crime
laboratories to exchange and compare DNA profiles electronically,
including the capability to link serial violent crimes to each other and
to convicted offenders.
Computer Analysis Response Team Ensure the ability of the FBI to collect,
preserve, examine, and present computer evidence in support of FBI
investigative programs, including developing technical capabilities that
provide timely and accurate forensic information and preserving evidence
to be analyzed by counterintelligence and counterterrorism experts.
Digital Collection Ensure the ability of the FBI to collect evidence and
intelligence (for example, from telephone calls and modem transmissions)
through the acquisition, deployment, and support of communications
interception techniques and systems to facilitate and support national
security, domestic counterterrorism, and criminal investigative efforts.
Electronic Surveillance Data Management Implement a system architecture
that increases the FBI's ability to manage, analyze, and
System share electronic surveillance and other types of collected data,
and integrates data analysis capabilities to improve the efficiency with
which investigators can develop leads and intelligence.
Foreign Terrorism Tracking Task Force Manage data for end-to-end decision
making that contributes to the mission of keeping foreign terrorists and
their supporters out of the United States or leads to their exclusion,
denial of benefits, surveillance, or prosecution.
Integrated Automated Fingerprint Provide the local, state, federal, and
international law enforcement community and
Identification System homeland security organizations with criminal
history services and the capability to search the FBI fingerprint
repository for matches to ten-print and latent fingerprints.
Investigative Data Warehousing and Provide the capability to easily and
rapidly search and share counterterrorism and criminal
Virtual Knowledge Base investigative information-including text,
photographs, video, and audio material-across the FBI and with federal,
state, and local organizations.
IT Security/Information Assurance Provide a foundation for safeguarding
the FBI's information, including developing a comprehensive and proactive
security program, improving security awareness, monitoring FBI systems,
conducting vulnerability assessments, and establishing a critical incident
response capability.
Joint Terrorism Task Force, Information Provide the IT infrastructure
required to support the task force's efforts to capture the
Sharing Initiative cumulative knowledge of area law enforcement agencies
and the federal government in a systematic and ongoing manner so as to
produce regional counterterrorism and crime strategies and cooperative
investigations.
Legat/International Infrastructure Provide IT support and services to the
FBI's foreign locations, including reducing vulnerabilities to accessing
and sharing critical, time-sensitive information internationally.
National Crime Information Center 2000 Provide an online computerized
index of crime information-including information about individuals,
vehicles, and property-to local, state, federal, and international law
enforcement and criminal justice agencies.
National Instant Criminal Background Conduct name searches and provide
criminal history records on individuals purchasing Check System firearms
or transferring ownership of firearms.
Appendix II
Brief Descriptions of Major IT Systems
Modernization Initiatives
(Continued From Previous Page)
Initiative Description of intended functions and services
Security Management Information System Support all activities and
functions within the bureau's Security division, including replacing
manual work processes with efficient streamlined automation, consolidating
existing security applications, and enhancing electronic information
sharing with other FBI divisions, the law enforcement community, and the
intelligence community.
Sensitive Compartmented Information Provide a backup system for the top
secret/sensitive compartmented information local area
Operational Network network and expand the user base of this network
within FBI headquarters, field offices, and other facilities.
Special Technologies Applications Section Provide IT resources and
services for investigations of federal violations in which the Internet,
computer systems, or networks are exploited as instruments or targets of
terrorist organizations, foreign government-sponsored intelligence
operations, or criminal activity.
Trilogy Introduce new systems infrastructure and upgrade existing
investigative and intelligence applications, including establishing an
enterprise network to enable communications among hundreds of domestic and
foreign FBI locations.
Source: GAO analysis of FBI data.
Appendix III
Summary of Systems Acquisition Analyses for Six FBI Divisions
Analyses for CJIS, Counterterrorism, and Cyber Addressed by division policy?
Acquisition management control
and best practice elements CJIS Counterterrorism Cyber
Configuration management Project management
Identifying roles and responsibilities Yes Yes Yes
Developing a configuration management plan Yes Yes Yes
Establishing a library system Yes Yes Yes
Identifying, documenting, managing, and Yes Yes Yes
controlling configuration items and baselines
Managing change requests and problem reports Yes Yes Yes
Periodically auditing baselines Yes Yes Yes
Periodically having management review the Yes Yes No
status of configuration management activities
Identifying roles and responsibilities Yes Yes Yes
Developing a project management plan Yes Yes Yes
Baselining and tracking project cost, schedule, Yes Yes No
and performance status and associated risks
Establishing a corrective action system to Yes Yes No
identify, record, track, and correct problems
Periodically reviewing and communicating the Yes Yes Yes
status of project management activities and
commitments
Quality assurance
Identifying roles and responsibilities Yes Yes Yes
Developing a quality assurance plan Yes No Yes
Participating in the development and review of Yes No No
integration plans, standards, and procedures
Reviewing activities and work products to verify Yes Yes Yes
compliance with applicable standards and
procedures
Documenting and handling deviations in Yes Yes Yes
activities and work products
Periodically reporting and reviewing the results Yes Yes No
and findings of quality assurance activities
Appendix III
Summary of Systems Acquisition Analyses
for Six FBI Divisions
(Continued From Previous Page)
Addressed by division policy?
Acquisition management control
and best practice elements CJIS Counterterrorism Cyber
Requirements development and management
Identifying roles and responsibilities Yes No Yes
Involving end users in development of and Yes No Yes
changes to requirements
Developing a requirements management plan Yes No No
Developing and baselining requirements, and Yes No No
maintaining them under change control
Appraising changes to requirements for their No No No
impact on the project or IT environment
Maintaining traceability among requirements Yes No Yes
and project deliverables
Periodically reviewing the status of Yes No No
requirements development and management
activities with management
Risk management
Identifying roles and responsibilities No Yes No
Developing a risk management plan Yes Yes Yes
Integrating risk management with other planning No No No
and management functions
Identifying, analyzing, controlling, and mitigating Yes Yes Yes
project risks
Periodically having management review the Yes No No
status of project risks and risk management
activities
Source: GAO analysis of FBI data.
Appendix III
Summary of Systems Acquisition Analyses
for Six FBI Divisions
Addressed by division policy?
Acquisition management control and Investigative Program best practice
elements Information Resources Technology Management Office
Configuration management Project management Quality assurance
Identifying roles and responsibilities Yes No Yes
Developing a configuration management plan Yes Yes Yes
Establishing a library system Yes No Yes
Identifying, documenting, managing, and controlling Yes No Yes
configuration items and baselines
Managing change requests and problem reports Yes No Yes
Periodically auditing baselines Yes No No
Periodically having management review the status Yes No No
of configuration management activities
Identifying roles and responsibilities Yes Yes Yes
Developing a project management plan Yes Yes Yes
Baselining and tracking project cost, schedule, and Yes Yes Yes
performance status and associated risks
Establishing a corrective action system to identify, Yes Yes Yes
record, track, and correct problems
Periodically reviewing and communicating the Yes Yes Yes
status of project management activities and
commitments
Identifying roles and responsibilities Yes Yes Yes
Developing a quality assurance plan No Yes Yes
Participating in the development and review of No Yes No
integration plans, standards, and procedures
Reviewing activities and work products to verify Yes Yes Yes
compliance with applicable standards and
procedures
Documenting and handling deviations in activities Yes Yes Yes
and work products
Periodically reporting and reviewing the results and Yes No No
findings of quality assurance activities
Appendix III
Summary of Systems Acquisition Analyses
for Six FBI Divisions
(Continued From Previous Page)
Addressed by division policy?
Acquisition management control and Investigative Program best practice
elements Information Resources Technology Management Office
Requirements development and management Risk management
Identifying roles and responsibilities No No Yes
Involving end users in development of and changes No No Yes
to requirements
Developing a requirements management plan No No No
Developing and baselining requirements, and No No Yes
maintaining them under change control
Appraising changes to requirements for their impact No No No
on the project or IT environment
Maintaining traceability among requirements and No Yes No
project deliverables
Periodically reviewing the status of requirements No No Yes
development and management activities with
management
Identifying roles and responsibilities Yes No Yes
Developing a risk management plan Yes Yes Yes
Integrating risk management with other planning No No No
and management functions
Identifying, analyzing, controlling, and mitigating Yes Yes Yes
project risks
Periodically having management review the status No Yes Yes
of project risks and risk management activities
Source: GAO analysis of FBI data.
Appendix IV
Comments from the Federal Bureau of Investigation
Appendix IV
Comments from the Federal Bureau of
Investigation
Appendix IV
Comments from the Federal Bureau of
Investigation
Appendix V
GAO Contact and Staff Acknowledgments
GAO Contact Gary Mountjoy, (202) 512-6367
Staff In addition to the individual named above, key contributors to this
report included Nabajyoti Barkakarti, Katherine Chu-Hickman, Lester
Diamond,
Acknowledgments Elena Epps, Nancy Glover, Paula Moore, and Megan Secrest.
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