oversight

Information Technology: Leadership Remains Key to Agencies Making Progress on Enterprise Architecture Efforts

Published by the Government Accountability Office on 2003-11-17.

Below is a raw (and likely hideous) rendition of the original report. (PDF)

                United States General Accounting Office

GAO             Report to Congressional Requesters




November 2003
                INFORMATION
                TECHNOLOGY
                Leadership Remains
                Key to Agencies
                Making Progress on
                Enterprise
                Architecture Efforts




GAO-04-40
                a
                                                November 2003


                                                INFORMATION TECHNOLOGY

                                                Leadership Remains Key to Agencies
Highlights of GAO-04-40, a report to the        Making Progress on Enterprise
Chairman, Committee on Government
Reform, House of Representatives, and           Architecture Efforts
the Honorable Jim Turner




A well-defined enterprise                       Federal agencies’ progress toward effective EA management is limited. GAO
architecture (EA) is a blueprint for            surveyed federal agencies on their EA programs and compared the results
institutional modernization and                 with those of a similar survey that GAO conducted in 2001 (GAO-02-6). To
evolution that consists of models               assign a maturity level to agencies, GAO used its EA management maturity
describing how an entity operates               framework, which is a five-stage model that defines criteria that govern
today and how it intends to operate
in the future, along with a plan for
                                                where an EA program stands in its progression toward being effectively
how it intends to transition to this            managed (with Stage 1 being ineffective and Stage 5 being highly effective).
future state. Such architectures are            Comparing the 2001 and 2003 survey results revealed a very similar overall
essential tools whose effective                 picture (see figure), in which slight increases in agencies achieving Stage 3
development and use are                         status were offset by slight increases in agencies being at Stage 1. In
recognized hallmarks of successful              addition, when GAO assessed the 2003 survey results against a recent update
organizations. Because of the                   of the framework (GAO-03-584G), agencies’ average maturity was slightly
importance of these architectures,              lower. An exception to this is the Executive Office of the President, which is
GAO was asked to determine                      a Stage 5 agency under the latest version of the framework. Part of the
(1) what progress federal agencies              reason for this limited progress across the federal government is that
have made in effectively                        agencies continue to face long-standing EA challenges, such as limited
developing, implementing, and
maintaining their EAs and (2) the
                                                executive understanding of EA and a scarcity of skilled architecture staff.
Office of Management and Budget’s               Since 2001, more agencies now report these as significant challenges.
(OMB) actions to advance the state
of EA development and use across                OMB has undertaken a variety of actions to advance the state of EA use
the federal government.                         across the federal government, such as collecting and analyzing
                                                architectures for major departments and agencies and requiring that major
                                                information technology (IT) investments comply with them. Additionally,
                                                OMB has developed parts of a governmentwide EA, and by requiring a
GAO is reiterating open
                                                mapping of agency architectures to this federal EA as part of the budget
recommendations previously made
to the Director of OMB, and it is               review process, it has called attention to the need for agencies to further
making additional                               their own architecture efforts. However, despite OMB’s actions, the
recommendations to the director                 agencies’ responses indicate that only about one-half are satisfied with
that are aimed at advancing the                 OMB’s leadership in addressing long-standing EA challenges. Until these
state of EA management maturity                 challenges are effectively addressed, agencies’ maturity levels as a whole are
across the federal government                   likely to remain stagnant, limiting their ability to effectively invest in IT.
through improved EA leadership
and oversight. OMB officials stated             Number of Agencies at Each Maturity Stage, According to Versions 1.0 and 1.1 of Framework
that they generally agreed with our             Agencies                                                        Agencies
recommendations.                                50    48                                                        80 76
                                                   44
                                                40
                                                                                                                60
                                                                 33
                                                30
                                                                      26
                                                                                                                40
                                                20
                                                                                  15
                                                                             12                                 20
                                                10
                                                                                                                               10          9
                                                                                          4               3
www.gao.gov/cgi-bin/getrpt?GAO-04-40.                                                         1       0                                                0           1
                                                 0                                                               0
                                                     Stage 1    Stage 2     Stage 3     Stage 4     Stage 5       Stage 1   Stage 2     Stage 3     Stage 4     Stage 5
To view the full product, including the scope
                                                               2001 survey (93 agencies; average stage: 1.74)               2003 survey (96 agencies; average stage: 1.33)
and methodology, click on the link above.
For more information, contact Randolph C.                      2003 survey (93 agencies; average stage: 1.76)
Hite at (202) 512-3439 or hiter@gao.gov.
                                                Source: GAO.
Contents



Letter                                                                                                   1
                             Results in Brief                                                            2
                             Background                                                                  3
                             Agencies Are Making Limited Architecture Management Progress;
                               Most Programs Remain Immature                                            22
                             OMB Has Taken Action to Promote Enterprise Architecture, but
                               Improvements Have Not Occurred and Management Challenges
                               Remain                                                                   42
                             Conclusions                                                                52
                             Recommendations for Executive Action                                       52
                             Agency Comments                                                            53


Appendixes
              Appendix I:    Agencies Indicated Architecture Benefits and Experiences
                             with the Use of Tools, Frameworks, Methodologies, and
                             Contractors                                                                54
                             Agencies Reported Various Architecture Benefits                            54
                             Agencies Reported Using a Variety of Enterprise Architecture Tools
                               with Varying Degrees of Satisfaction                                     55
                             Agencies Reported Using a Variety of Enterprise Architecture
                               Frameworks with Varying Levels of Satisfaction                           57
                             Less Than Half of Federal Agencies Had Selected an Enterprise
                               Architecture Methodology                                                 60
                             Most Agencies Reported Using Contractor Support for Developing
                               Enterprise Architectures                                                 60
             Appendix II:    Cost Data Related to Implementing Enterprise Architectures
                             Varied, with Personnel Accounting for Most Costs                           62
                             Departments’ Investment in Architecture Varied More Widely than
                               Component and Independent Agencies’                                      62
                             Agency and Contractor Personnel Accounted for the Majority of
                               Architecture Development Costs                                           67
             Appendix III:   Objectives, Scope, and Methodology                                         72
             Appendix IV:    Maturity Stages of Departments and Agencies According to
                             EA Maturity Framework, Versions 1.0 and 1.1                                84
              Appendix V:    Detailed Comparison of Individual Department Responses
                             against Our EA Management Maturity Framework                               88
                             Department of Agriculture                                                  88
                             Department of Commerce                                                     91



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                Department of Defense                                                 94
                Department of Education                                              101
                Department of Energy                                                 104
                Department of Health and Human Services                              107
                Department of Homeland Security                                      110
                Department of Housing and Urban Development                          113
                Department of the Interior                                           116
                Department of Justice                                                119
                Department of Labor                                                  122
                Department of State                                                  125
                Department of Transportation                                         128
                Department of the Treasury                                           131
                Department of Veterans Affairs                                       134
Appendix VI:    Detailed Comparison of Individual Component Responses
                against Our EA Management Maturity Framework                         137
                Department of Agriculture                                            137
                Department of Commerce                                               168
                Department of Defense                                                184
                Department of Health and Human Services                              230
                Department of Justice                                                255
                Department of Transportation                                         271
                Department of the Treasury                                           290
Appendix VII:   Detailed Comparison of Independent Agency Responses
                against Our EA Management Maturity Framework                         312
                Agency for International Development                                 312
                Central Intelligence Agency                                          315
                Corporation for National and Community Service                       318
                Environmental Protection Agency                                      321
                Equal Employment Opportunity Commission                              324
                Executive Office of the President                                    327
                Export-Import Bank                                                   330
                Federal Deposit Insurance Corporation                                333
                Federal Energy Regulatory Commission                                 336
                Federal Reserve System                                               339
                Federal Retirement Thrift Investment Board                           342
                General Services Administration                                      345
                National Aeronautics and Space Administration                        348
                National Credit Union Administration                                 351
                National Labor Relations Board                                       354
                Nuclear Regulatory Commission                                        357
                Office of Personnel Management                                       360



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                          Contents




                          Peace Corps                                                              363
                          Railroad Retirement Board                                                366
                          Securities and Exchange Commission                                       369
                          Small Business Administration                                            372
                          Smithsonian Institution                                                  375
                          Social Security Administration                                           378
                          U.S. Postal Service                                                      381
         Appendix VIII:   2003 Survey of Enterprise Architecture Efforts                           384
          Appendix IX:    GAO Contact and Staff Acknowledgments                                    405
                          GAO Contact                                                              405
                          Staff Acknowledgments                                                    405


Tables                    Table 1:    FEA Reference Models                                            7
                          Table 2:    Framework Stages for Enterprise Architecture
                                      Maturity                                                       10
                          Table 3:    Critical Success Attributes of our EAMMF Versions 1.0
                                      and 1.1                                                        12
                          Table 4:    Changes in Our EAMMF Version 1.1                               20
                          Table 5:    Core Elements That Most Frequently Contributed to
                                      Maturity Stage Increases                                       31
                          Table 6:    Core Elements That Most Frequently Contributed to
                                      Maturity Stage Decreases                                       32
                          Table 7:    Agencies That Need to Satisfy 5 or Fewer Elements to
                                      Achieve Stage 5                                                42
                          Table 8:    Service Domains and the Capabilities That They
                                      Describe                                                       47
                          Table 9:    Summary of Agencies’ Responses to FEA-Related
                                      Statements                                                     49
                          Table 10:   Percentage of Agencies Identifying Particular
                                      Enterprise Architecture Management Challenges                  50
                          Table 11:   Percentage of Agencies Satisfied with OMB’s Efforts to
                                      Address Various Management Challenges                          51
                          Table 12:   Frequently Identified Enterprise Architecture Benefits
                                      by Federal Agencies                                            54
                          Table 13:   Federal Agencies’ Satisfaction with Automated
                                      Enterprise Architecture Tools                                  57
                          Table 14:   Federal Agencies Enterprise Architecture Framework
                                      Satisfaction Levels                                            59
                          Table 15:   Federal Agencies’ Use of Contractors in Developing
                                      Their Enterprise Architectures                                 61
                          Table 16:   Cost Data Reported by Agencies                                 69



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Table 17:   Summary of Differences between 2001 and 2003 Survey
            Populations                                                  74
Table 18:   Twenty-Two Agencies in 2003 Survey Population for
            Which Responses Do Not Appear                                75
Table 19:   Additional Survey Responses                                  76
Table 20:   Stage 2 Evaluation Criteria for Framework Version
            1.0                                                          77
Table 21:   Stage 3 Evaluation Criteria for Framework Version
            1.0                                                          78
Table 22:   Stage 4 Evaluation Criteria for Framework Version
            1.0                                                          78
Table 23:   Stage 5 Evaluation Criteria for Framework Version
            1.0                                                          79
Table 24:   Stage 2 Evaluation Criteria for Framework Version
            1.1                                                          80
Table 25:   Stage 3 Evaluation Criteria for Framework Version
            1.1                                                          81
Table 26:   Stage 4 Evaluation Criteria for Framework Version
            1.1                                                          82
Table 27:   Stage 5 Evaluation Criteria for Framework Version
            1.1                                                          83
Table 28:   Agency Maturity Stages According to EAMMF, Versions
            1.0 and 1.1                                                  84
Table 29:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Department of
            Agriculture                                                  88
Table 30:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Department of Agriculture                      89
Table 31:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Department of
            Commerce                                                     91
Table 32:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Department of Commerce                         92
Table 33:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Department of
            Defense, Global Information Grid                             94
Table 34:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Department of Defense, Global
            Information Grid                                             96
Table 35:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Department of
            Defense, Business Enterprise Architecture                    98



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Table 36:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Department of Defense, Business
            Enterprise Architectur                                       99
Table 37:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Department of
            Education                                                  101
Table 38:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Department of Education                      102
Table 39:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Department of
            Energy                                                     104
Table 40:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Department of Energy                         105
Table 41:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Department of
            Health and Human Services                                  107
Table 42:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Department of Health and Human
            Services                                                   108
Table 43:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Department of
            Homeland Security                                          110
Table 44:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Department of Homeland Security              111
Table 45:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Department of
            Housing and Urban Development                              113
Table 46:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Department of Housing and Urban
            Development                                                114
Table 47:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Department of
            the Interior                                               116
Table 48:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Department of the Interior                   117
Table 49:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Department of
            Justice                                                    119
Table 50:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Department of Justice                        120




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Table 51:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Department of
            Labor                                                      122
Table 52:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Department of Labor                          123
Table 53:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Department of
            State                                                      125
Table 54:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Department of State                          126
Table 55:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Department of
            Transportation                                             128
Table 56:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Department of Transportation                 129
Table 57:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Department of
            the Treasury                                               131
Table 58:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Department of the Treasury                   132
Table 59:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Department of
            Veterans Affairs                                           134
Table 60:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Department of Veterans Affairs               135
Table 61:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Agricultural
            Marketing Service                                          137
Table 62:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Agricultural Marketing Service               139
Table 63:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Agricultural
            Research Service                                           141
Table 64:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Agricultural Research Service                142
Table 65:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Animal and
            Plant Health Inspection Service                            144
Table 66:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Animal and Plant Health Inspection
            Service                                                    145




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Table 67:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Cooperative
            State Research, Education, and Extension Service             147
Table 68:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Cooperative State Research, Education,
            and Extension Service                                        148
Table 69:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Food and
            Nutrition Service                                            150
Table 70:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Food and Nutrition Service                     151
Table 71:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Food Safety and
            Inspection Service                                           153
Table 72:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Food Safety and Inspection Service             154
Table 73:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Foreign
            Agricultural Service                                         156
Table 74:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Foreign Agricultural Service                   157
Table 75:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Forest
            Service                                                      159
Table 76:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Forest Service                                 160
Table 77:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Risk
            Management Agency                                            162
Table 78:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Risk Management Agency                         163
Table 79:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Service Center
            Modernization Initiative                                     165
Table 80:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Service Center Modernization
            Initiative                                                   166
Table 81:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Bureau of the
            Census                                                       168
Table 82:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Bureau of the Census                           170



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Table 83:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Economic
            Development Administration                                    172
Table 84:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Economic Development
            Administration                                                173
Table 85:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): International
            Trade Administration                                          175
Table 86:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): International Trade Administration              176
Table 87:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): National
            Oceanic and Atmospheric Administration                        178
Table 88:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): National Oceanic and Atmospheric
            Administration                                                179
Table 89:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): U.S. Patent and
            Trademark Office                                              181
Table 90:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): U.S. Patent and Trademark Office                182
Table 91:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Ballistic Missile
            Defense Organization                                          184
Table 92:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Ballistic Missile Defense Organization          186
Table 93:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Defense
            Advanced Research Projects Agency                             188
Table 94:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Defense Advanced Research Projects
            Agency                                                        189
Table 95:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Defense
            Commissary Agency                                             191
Table 96:   Maturity Assessment in 2003 (According to Framework
            Version 1.1): Defense Commissary Agency                       192
Table 97:   Comparison of Maturity Assessments in 2001 and 2003
            (According to Framework Version 1.0): Defense
            Contract Audit Agency                                         194




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Table 98:    Maturity Assessment in 2003 (According to Framework
             Version 1.1): Defense Contract Audit Agency                  195
Table 99:    Comparison of Maturity Assessments in 2001 and 2003
             (According to Framework Version 1.0): Defense
             Contract Management Agency                                  197
Table 100:   Maturity Assessment in 2003 (According to Framework
             Version 1.1): Defense Contract Management Agency             198
Table 101:   Comparison of Maturity Assessments in 2001 and 2003
             (According to Framework Version 1.0): Defense
             Information Systems Agency                                  200
Table 102:   Maturity Assessment in 2003 (According to Framework
             Version 1.1): Defense Information Systems Agency             201
Table 103:   Comparison of Maturity Assessments in 2001 and 2003
             (According to Framework Version 1.0): Defense
             Intelligence Agency                                         203
Table 104:   Maturity Assessment in 2003 (According to Framework
             Version 1.1): Defense Intelligence Agency                   204
Table 105:   Comparison of Maturity Assessments in 2001 and 2003
             (According to Framework Version 1.0): Defense
             Logistics Agency                                            206
Table 106:   Maturity Assessment in 2003 (According to Framework
             Version 1.1): Defense Logistics Agency                       207
Table 107:   Comparison of Maturity Assessments in 2001 and 2003
             (According to Framework Version 1.0): Defense
             Security Cooperation Agency                                  209
Table 108:   Maturity Assessment in 2003 (According to Framework
             Version 1.1): Defense Security Cooperation Agency            210
Table 109:   Comparison of Maturity Assessments in 2001 and 2003
             (According to Framework Version 1.0): Defense
             Security Service                                            212
Table 110:   Maturity Assessment in 2003 (According to Framework
             Version 1.1): Defense Security Service                       213
Table 111:   Comparison of Maturity Assessments in 2001 and 2003
             (According to Framework Version 1.0): Defense Threat
             Reduction Agency                                             215
Table 112:   Maturity Assessment in 2003 (According to Framework
             Version 1.1): Defense Threat Reduction Agency                216
Table 113:   Comparison of Maturity Assessments in 2001 and 2003
             (According to Framework Version 1.0): Department of
             the Air Force                                               218
Table 114:   Maturity Assessment in 2003 (According to Framework
             Version 1.1): Department of the Air Force                    219



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Table 115: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Department of
           the Army                                                    221
Table 116: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Department of the Army                        222
Table 117: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Department of
           the Navy                                                    224
Table 118: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Department of the Navy                        225
Table 119: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): National
           Imagery and Mapping Agency                                  227
Table 120: Maturity Assessment in 2003 (According to Framework
           Version 1.1): National Imagery and Mapping
           Agency                                                      228
Table 121: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Administration
           for Children and Families                                   230
Table 122: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Administration for Children and
           Families                                                    232
Table 123: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Agency for
           Healthcare Research and Quality                             234
Table 124: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Agency for Healthcare Research and
           Quality                                                     235
Table 125: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Centers for
           Disease Control and Prevention                              237
Table 126: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Centers for Disease Control and
           Prevention                                                  238
Table 127: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Centers for
           Medicare and Medicaid Services                              240
Table 128: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Centers for Medicare and Medicaid
           Services                                                    241




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Table 129: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Food and Drug
           Administration                                               243
Table 130: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Food and Drug Administration                    244
Table 131: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Health
           Resources and Services Administration                        246
Table 132: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Health Resources and Services
           Administration                                               247
Table 133: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Indian Health
           Service                                                      249
Table 134: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Indian Health Service                          250
Table 135: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Program
           Support Center                                               252
Table 136: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Program Support Center                         253
Table 137: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Bureau of
           Alcohol, Tobacco, Firearms and Explosives                    255
Table 138: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Bureau of Alcohol, Tobacco, Firearms and
           Explosives                                                   257
Table 139: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Drug
           Enforcement Administration                                   259
Table 140: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Drug Enforcement Administration                260
Table 141: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Federal Bureau
           of Investigation                                             262
Table 142: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Federal Bureau of Investigation                263
Table 143: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Federal Bureau
           of Prisons                                                   265
Table 144: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Federal Bureau of Prisons                       266



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Table 145: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): U.S. Marshals
           Service                                                      268
Table 146: Maturity Assessment in 2003 (According to Framework
           Version 1.1): U.S. Marshals Service                          269
Table 147: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Federal Aviation
           Administration                                               271
Table 148: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Federal Aviation Administration                273
Table 149: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Federal
           Highway Administration                                       275
Table 150: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Federal Highway Administration                 276
Table 151: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Federal Motor
           Carrier Safety Administration                                278
Table 152: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Federal Motor Carrier Safety
           Administration                                               279
Table 153: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Federal Railroad
           Administration                                               281
Table 154: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Federal Railroad Administration                282
Table 155: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Federal Transit
           Administration                                               284
Table 156: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Federal Transit Administration                 285
Table 157: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): National
           Highway Traffic Safety Administration                        287
Table 158: Maturity Assessment in 2003 (According to Framework
           Version 1.1): National Highway Traffic Safety
           Administration                                               288
Table 159: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Bureau of
           Engraving and Printing                                       290
Table 160: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Bureau of Engraving and Printing               292



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Table 161: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Bureau of the
           Public Debt                                                   294
Table 162: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Bureau of the Public Debt                       295
Table 163: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Comptroller of
           the Currency                                                  297
Table 164: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Comptroller of the Currency                     298
Table 165: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Financial
           Management Service                                           300
Table 166: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Financial Management Service                    301
Table 167: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Internal
           Revenue Service                                               303
Table 168: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Internal Revenue Service                        304
Table 169: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Office of Thrift
           Supervision                                                   306
Table 170: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Office of Thrift Supervision                    307
Table 171: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): U.S. Mint               309
Table 172: Maturity Assessment in 2003 (According to Framework
           Version 1.1): U.S. Mint                                       310
Table 173: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Agency for
           International Development                                     312
Table 174: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Agency for International Development            313
Table 175: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Central
           Intelligence Agency                                           315
Table 176: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Central Intelligence Agency                     316
Table 177: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Corporation for
           National and Community Service                               318



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Table 178: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Corporation for National and Community
           Service                                                      319
Table 179: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Environmental
           Protection Agency                                            321
Table 180: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Environmental Protection Agency                322
Table 181: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Equal
           Employment Opportunity Commission                            324
Table 182: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Equal Employment Opportunity
           Commission                                                   325
Table 183: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Executive Office
           of the President                                             327
Table 184: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Executive Office of the President              328
Table 185: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Export-Import
           Bank                                                         330
Table 186: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Export-Import Bank                             331
Table 187: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Federal Deposit
           Insurance Corporation                                        333
Table 188: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Federal Deposit Insurance
           Corporation                                                  334
Table 189: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Federal Energy
           Regulatory Commission                                        336
Table 190: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Federal Energy Regulatory
           Commission                                                   337
Table 191: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Federal Reserve
           System                                                       339
Table 192: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Federal Reserve System                         340




Page xiv                                    GAO-04-40 Enterprise Architecture
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Table 193: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Federal
           Retirement Thrift Investment Board                           342
Table 194: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Federal Retirement Thrift Investment
           Board                                                        343
Table 195: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): General Services
           Administration                                               345
Table 196: Maturity Assessment in 2003 (According to Framework
           Version 1.1): General Services Administration                346
Table 197: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): National
           Aeronautics and Space Administration                         348
Table 198: Maturity Assessment in 2003 (According to Framework
           Version 1.1): National Aeronautics and Space
           Administration                                               349
Table 199: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): National Credit
           Union Administration                                         351
Table 200: Maturity Assessment in 2003 (According to Framework
           Version 1.1): National Credit Union Administration           352
Table 201: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): National Labor
           Relations Board                                              354
Table 202: Maturity Assessment in 2003 (According to Framework
           Version 1.1): National Labor Relations Board                 355
Table 203: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Nuclear
           Regulatory Commission                                        357
Table 204: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Nuclear Regulatory Commission                   358
Table 205: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Office of
           Personnel Management                                         360
Table 206: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Office of Personnel Management                 361
Table 207: Comparison of Maturity Assessments in 2001 and 2003
           (According to Framework Version 1.0): Peace
           Corps                                                        363
Table 208: Maturity Assessment in 2003 (According to Framework
           Version 1.1): Peace Corps                                     364



Page xv                                     GAO-04-40 Enterprise Architecture
          Contents




          Table 209: Comparison of Maturity Assessments in 2001 and 2003
                     (According to Framework Version 1.0): Railroad
                     Retirement Board                                             366
          Table 210: Maturity Assessment in 2003 (According to Framework
                     Version 1.1): Railroad Retirement Board                      367
          Table 211: Comparison of Maturity Assessments in 2001 and 2003
                     (According to Framework Version 1.0): Securities and
                     Exchange Commission                                          369
          Table 212: Maturity Assessment in 2003 (According to Framework
                     Version 1.1): Securities and Exchange Commission             370
          Table 213: Comparison of Maturity Assessments in 2001 and 2003
                     (According to Framework Version 1.0): Small Business
                     Administration                                               372
          Table 214: Maturity Assessment in 2003 (According to Framework
                     Version 1.1): Small Business Administration                  373
          Table 215: Comparison of Maturity Assessments in 2001 and 2003
                     (According to Framework Version 1.0): Smithsonian
                     Institution                                                  375
          Table 216: Maturity Assessment in 2003 (According to Framework
                     Version 1.1): Smithsonian Institution                        376
          Table 217: Comparison of Maturity Assessments in 2001 and 2003
                     (According to Framework Version 1.0): Social Security
                     Administration                                               378
          Table 218: Maturity Assessment in 2003 (According to Framework
                     Version 1.1): Social Security Administration                 379
          Table 219: Comparison of Maturity Assessments in 2001 and 2003
                     (According to Framework Version 1.0): U.S. Postal
                     Service                                                      381
          Table 220: Maturity Assessment in 2003 (According to Framework
                     Version 1.1): U.S. Postal Service                            382


Figures   Figure 1:   Enterprise Architecture Management Maturity
                      Framework (Version 1.0)                                       14
          Figure 2:   Enterprise Architecture Management Maturity
                      Framework (Version 1.1)                                       16
          Figure 3:   Changes in Maturity Stages from 2001 to 2003 (93
                      agencies), Based on EAMMF Version 1.0                         23
          Figure 4:   Agencies in Each Maturity Stage, According to EAMMF
                      Version 1.0                                                   25
          Figure 5:   Agencies Whose Maturity Stages Improved or Declined
                      from 2001 to 2003 against EAMMF Version 1.0                   26




          Page xvi                                    GAO-04-40 Enterprise Architecture
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Figure 6:    Agency Satisfaction of Stage 1 Elements in EAMMF
             Version 1.0: 2001 versus 2003 Results                       27
Figure 7:    Agency Satisfaction of Stage 2 Elements in EAMMF
             Version 1.0: 2001 versus 2003 Results                       28
Figure 8:    Agency Satisfaction of Stage 3 Elements in EAMMF
             Version 1.0: 2001 versus 2003 Results                       29
Figure 9:    Agency Satisfaction of Stage 4 Elements in EAMMF
             Version 1.0: 2001 versus 2003 Results                       29
Figure 10:   Agency Satisfaction of Stage 5 Elements in EAMMF
             Version 1.0: 2001 versus 2003 Results                       30
Figure 11:   Agencies in Each Stage, According to EAMMF Version
             1.1                                                         33
Figure 12:   Percentage of Departments, Component Agencies, and
             Independent Agencies That Satisfied Stage 2 Core
             Elements of EAMMF Version 1.1                               35
Figure 13:   Percentage of Departments, Component Agencies, and
             Independent Agencies That Satisfied Stage 3 Core
             Elements of EAMMF Version 1.1                               36
Figure 14:   Percentage of Departments, Component Agencies, and
             Independent Agencies That Satisfied Stage 4 Core
             Elements of EAMMF Version 1.1                               37
Figure 15:   Percentage of Departments, Component Agencies, and
             Independent Agencies That Satisfied Stage 5 Core
             Elements of EAMMF Version 1.1                               38
Figure 16:   Maturity Level of Departments and Their Component
             Agencies                                                    41
Figure 17:   Enterprise Architecture Tools Used by Agencies              55
Figure 18:   Enterprise Architecture Frameworks Used by
             Agencies                                                    58
Figure 19:   Development Costs to Date for Departments                   63
Figure 20:   Development Costs to Date for Component
             Agencies                                                    63
Figure 21:   Development Costs to Date for Independent
             Agencies                                                    64
Figure 22:   Estimated Completion Costs for Departments                  64
Figure 23:   Estimated Completion Costs for Component
             Agencies                                                    65
Figure 24:   Estimated Completion Costs for Independent
             Agencies                                                    65
Figure 25:   Estimated Annual Maintenance Costs for
             Departments                                                 66




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Figure 26:     Estimated Annual Maintenance Costs for Component
               Agencies                                                                66
Figure 27:     Estimated Annual Maintenance Costs for Independent
               Agencies                                                                67
Figure 28:     Enterprise Architecture Development Costs by
               Category—All Respondents                                                68


Abbreviations

BEA                   Business Enterprise Architecture
CIO                   chief information officer
C4ISR                 Command, Control, Communications, Computers,
                      Intelligence, Surveillance, and Reconnaissance
DOD                   Department of Defense
DODAF                 Department of Defense Architecture Framework
DHS                   Department of Homeland Security
EA                    enterprise architecture
EAMMF                 Enterprise Architecture Management Maturity Framework
EPA                   Environmental Protection Agency
EOP                   Executive Office of the President
FEA                   Federal Enterprise Architecture
FEAF                  Federal Enterprise Architecture Framework
FEAPMO                Federal Enterprise Architecture Program Management
                      Office
GIG                   Global Information Grid
IT                    information technology
IRS                   Internal Revenue Service
NIST                  National Institute of Standards and Technology
OMB                   Office of Management and Budget
TEAF                  Treasury Enterprise Architecture Framework




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Page xviii                                             GAO-04-40 Enterprise Architecture
A
United States General Accounting Office
Washington, D.C. 20548



                                    November 17, 2003                                                                            Leter




                                    The Honorable Thomas M. Davis
                                    Chairman, Committee on Government Reform
                                    House of Representatives

                                    The Honorable Jim Turner
                                    House of Representatives

                                    A well-defined enterprise architecture provides a clear and comprehensive
                                    picture of the structure of any enterprise, whether it is an organization or a
                                    functional or mission area. This structure is defined in models that describe
                                    (in both business and technology terms) how the entity operates today and
                                    how it intends to operate in the future; it also includes a plan for
                                    transitioning to this future state. Such an architecture is an essential tool
                                    for leveraging information technology (IT) in the transformation of
                                    business and mission operations.

                                    As our experience with federal agencies has shown, attempting to
                                    modernize and evolve IT environments without an enterprise architecture
                                    to guide and constrain investments often results in operations and systems
                                    that are duplicative, not well integrated, unnecessarily costly to maintain
                                    and interface, and ineffective in supporting mission goals. A properly
                                    managed enterprise architecture helps to clarify and optimize the
                                    interdependencies and relationships among enterprise operations and their
                                    supporting IT assets, so that agencies can base IT investment decisions on
                                    an explicit and common understanding of both today’s and tomorrow’s
                                    environments. The development, implementation, and maintenance of
                                    architectures are widely recognized as hallmarks of successful public and
                                    private organizations, and their use is required by the Clinger-Cohen Act
                                    and the implementing guidance, issued by the Office of Management and
                                    Budget (OMB).1 Further, the E-Government Act of 20022 assigns OMB
                                    responsibility for overseeing enterprise architectures.

                                    In light of the importance of these architectures, you requested that we
                                    review the state of their use in the federal government. As agreed, our

                                    1
                                     Office of Management and Budget, Management of Federal Information Resources,
                                    Circular A-130 (Nov. 30, 2000), which implements the Clinger-Cohen Act of 1996, Public Law
                                    104-106, section 5125, 110 Stat. 684 (1996), 40 U.S.C. 11315.
                                    2
                                     Public Law 107-347.




                                    Page 1                                                 GAO-04-40 Enterprise Architecture
                   objectives were to determine (1) what progress federal agencies have made
                   in effectively developing, implementing, and maintaining their enterprise
                   architectures and (2) OMB’s actions to advance the state of enterprise
                   architecture development and use across the federal government. We also
                   collected a variety of related information on agency enterprise architecture
                   experiences and practices, which are described in appendixes I and II of
                   this report.

                   To accomplish these objectives, we surveyed federal agencies using a
                   questionnaire that was based on our maturity framework for assessing and
                   improving enterprise architecture management.3 We then analyzed agency
                   questionnaire responses and compared them with the results of a similar
                   analysis that we conducted in 2001.4 To corroborate certain questionnaire
                   responses, we requested that agencies provide us with supporting
                   documentation. For agency responses related to the content of their
                   respective architectures, we relied on agency responses and did not
                   independently assess the quality of agency enterprise architecture
                   products. Further details of our objectives, scope, and methodology are in
                   appendix III.



Results in Brief   Federal agencies’ progress toward effectively managing enterprise
                   architectures is limited, with much work remaining. Since our 2001
                   assessment of agencies’ enterprise architecture management maturity, the
                   percentage of agencies that have established at least a foundation for
                   enterprise architecture management (i.e., they perform management
                   practices that provide the basis for effectively managing the development,
                   maintenance, and use of architectures) is virtually unchanged, decreasing
                   from 53 to 48 percent. Further, the percentage of agencies performing the
                   full complement of management practices that are necessary for effective
                   enterprise architecture management is the same (about 4 percent). In
                   addition, when agencies are assessed against the recent update of our
                   maturity framework (Version 1.1), the percentage that have established at
                   least a foundation for enterprise architecture management drops to 21

                   3
                    U.S. General Accounting Office, Information Technology: A Framework for Assessing and
                   Improving Enterprise Architecture Management (Version 1.1), GAO-03-584G
                   (Washington, D.C.: April 2003).
                   4
                    U.S. General Accounting Office, Information Technology: Enterprise Architecture Use
                   across the Federal Government Can Be Improved, GAO-02-6 (Washington, D.C.: Feb. 19,
                   2002).




                   Page 2                                               GAO-04-40 Enterprise Architecture
             percent; only one agency (1 percent), the Executive Office of the President,
             reported performing all of the management practices that are indicative of
             effective enterprise architecture management. This limited progress can be
             attributed in part to long-standing enterprise architecture challenges that
             have yet to be addressed. In particular, since 2001, more agencies now
             report that agency executive understanding of enterprise architecture and
             the scarcity of skilled architecture staff are significant challenges. Until
             agencies have and use well-defined enterprise architectures, their ability to
             effectively leverage IT in transforming mission operations will be impaired.

             OMB has undertaken a variety of actions to advance the state of enterprise
             architecture use across the federal government. These actions include
             collecting and analyzing the architectures of major departments and
             agencies and requiring that major IT investments comply with the
             cognizant department or agency architecture. Additionally, OMB has
             developed and continues to evolve governmentwide or federal enterprise
             architecture products and has required a mapping of agency architectures
             to this federal architecture as part of the budget review process. However,
             about one-half of agencies said that they were not satisfied with OMB’s
             efforts to support enterprise architecture management, such as obtaining
             agency top management understanding and backing and ensuring that the
             necessary human capital is available for supporting agency enterprise
             architecture efforts. Also, as previously noted, agencies’ maturity levels as
             a whole remain stagnant, despite OMB’s actions. Therefore, additional
             steps are needed. Accordingly, we are reiterating our open
             recommendations and making additional recommendations to the Director
             of OMB that are aimed at improving enterprise architecture leadership and
             oversight.

             In commenting on a draft of this report, officials from OMB’s Office of
             Information and Regulatory Affairs and the Federal Enterprise
             Architecture Program Management Office stated that they generally agreed
             with our findings and recommendations.



Background   The concept of an architecture to describe an enterprise first emerged in
             the mid-1980s, and over the years, various frameworks5 for defining the
             content of enterprise architectures have been published. Our work in the

             5
              A framework can be viewed as a logical structure for classifying and organizing complex
             information.




             Page 3                                                 GAO-04-40 Enterprise Architecture
                           early 1990s identified architectures as critical success factors in allowing
                           organizations to effectively apply IT to meet mission goals. Since then, we
                           have worked with the Congress, OMB, and the federal Chief Information
                           Officers (CIO) Council to promote the importance of architectures and
                           assist agencies in developing, maintaining, and using them. In our reviews
                           of selected agency IT management practices and major systems
                           modernization programs, we have continued to identify the lack of an
                           architecture as a major management weakness, and we have made
                           recommendations to address this important area.



Enterprise Architecture:   In simple terms, an enterprise can be viewed as any purposeful activity, and
A Brief Description        an architecture can be characterized as the structure (or structural
                           description) of any activity. Building on this, we can view enterprise
                           architectures as systematically derived and captured structural
                           descriptions—in useful models, diagrams, and narrative—of the mode of
                           operation for a given enterprise, which can be either a single organization
                           or a functional or mission area that transcends more than one
                           organizational boundary (e.g., financial management, homeland security).

                           The architecture describes the enterprise’s operations in both logical terms
                           (such as interrelated business processes and business rules, information
                           needs and flows, and work locations and users) and technical terms (such
                           as hardware, software, data, communications, and security attributes and
                           performance standards). It provides these perspectives both for the
                           enterprise’s current (or “as-is”) environment and for its target (or “to-be”)
                           environment, as well as a transition plan for moving from the “as-is” to the
                           “to-be” environment.



Importance of Enterprise   The importance of enterprise architectures is a basic tenet of IT
Architectures              management, and their effective use is a recognized hallmark of successful
                           public and private organizations. For over a decade, we have promoted the
                           use of architectures, recognizing them as a crucial means to a challenging
                           goal: that is, agency operational structures that are optimally defined, in
                           terms of both business and technology. The alternative, as our work has
                           shown, is perpetuation of the kinds of operational environments that
                           saddle most agencies today, in which the lack of integration among
                           business operations and the IT resources that support them leads to
                           systems that are duplicative, not well integrated, and unnecessarily costly
                           to maintain and interface.




                           Page 4                                         GAO-04-40 Enterprise Architecture
                              Managed properly, an enterprise architecture can clarify and help optimize
                              the interdependencies and relationships among an organization’s business
                              operations and the underlying IT infrastructure and applications that
                              support these operations. Employed in concert with other important IT
                              management controls (such as portfolio-based capital planning and
                              investment control practices), architectures can greatly increase the
                              chances that organizations’ operational and IT environments will be
                              configured so as to optimize mission performance. Enterprise
                              architectures are integral to managing large-scale programs as well as
                              initiatives that span several agencies, such as those currently being
                              undertaken to support the electronic government (e-government) efforts
                              led by OMB.6



Brief History of Enterprise   During the mid-1980s, John Zachman, widely recognized as a leader in the
Architecture Frameworks       field of enterprise architecture, identified the need to use a logical
                              construction blueprint (i.e., an architecture) for defining and controlling
and Management Guidance       the integration of systems and their components.7 Accordingly, Zachman
                              developed a structure or framework for defining and capturing an
                              architecture, which provides for six “windows” from which to view the
                              enterprise.8 Zachman also proposed six abstractions or models associated
                              with each of these perspectives.9 Zachman’s framework provides a way to
                              identify and describe an entity’s existing and planned component parts, and
                              the relationships between those parts, before the entity begins the costly
                              and time-consuming efforts associated with developing or transforming
                              itself.




                              6
                               According to OMB, e-government is a mode of operations (using people, process, and
                              technology—particularly Web-based Internet technology) to enhance access to and delivery
                              of government information and service to citizens, business partners, employees, other
                              agencies, and other levels of government.
                              7
                               J.A. Zachman, “A Framework for Information Systems Architecture,” IBM Systems
                              Journal, vol. 26, no. 3 (1987).
                              8
                               The windows provide the viewpoints of (1) the strategic planner, (2) the system user,
                              (3) the system designer, (4) the system developer, (5) the subcontractor, and (6) the system
                              itself.
                              9
                               The models cover (1) how the entity operates, (2) what the entity uses to operate, (3) where
                              the entity operates, (4) who operates the entity, (5) when entity operations occur, and
                              (6) why the entity operates.




                              Page 5                                                   GAO-04-40 Enterprise Architecture
Since Zachman introduced his framework, a number of frameworks have
emerged within the federal government, beginning with the publication of
the National Institute of Standards and Technology (NIST) framework in
1989. Since that time, other federal entities have issued enterprise
architecture frameworks, including the Department of Defense (DOD) and
the Department of the Treasury. In September 1999, the federal CIO
Council published the Federal Enterprise Architecture Framework
(FEAF), which was intended to provide federal agencies with a common
construct for their architectures, thereby facilitating the coordination of
common business processes, technology insertion, information flows, and
system investments among federal agencies. The FEAF describes an
approach, including models and definitions, for developing and
documenting architecture descriptions for multiorganizational functional
segments of the federal government.10

More recently, OMB established the Federal Enterprise Architecture
Program Management Office to develop a Federal Enterprise Architecture
(FEA) according to a collection of five “reference models,” which are
intended to facilitate governmentwide improvement through cross-agency
analysis and the identification of duplicative investments, gaps, and
opportunities for collaboration, interoperability, and integration within and
across government agencies. The FEA reference models are summarized in
table 1.




10
  Similar to the Zachman framework, the FEAF’s proposed models describe an entity’s
business, data necessary to conduct the business, applications to manage the data, and
technology to support the applications.




Page 6                                                  GAO-04-40 Enterprise Architecture
Table 1: FEA Reference Models

Reference model               Description                                                                        Status
Business Reference Model      Describes the business operations of the federal government independent of         Version 2.0 released in
                              the agencies that perform them, including defining the services provided to        June 2003
                              state and local governments.
Service Component Reference   Identifies and classifies IT service (i.e., application) components that support   Version 1.0 released in
Model                         federal agencies and promotes the reuse of components across agencies.             June 2003
Technical Reference Model     Describes how technology is supporting the delivery of service components,         Version 1.1 released in
                              including relevant standards for implementing the technology.                      August 2003
Performance Reference Model   Provides a common set of general performance outputs and measures for              Version 1.0 released in
                              agencies to use to achieve business goals and objectives.                          September 2003
Data and Information          Intended to describe, at an aggregate level, the types of data and information Release planned by
Reference Model               that support program and business line operations, and the relationships       January 2004
                              among these types.
Source: GAO.


                                            Although these post-Zachman frameworks differ in their nomenclatures
                                            and modeling approaches, each consistently provides for defining an
                                            enterprise’s operations in both logical terms and technical terms, provides
                                            for defining these perspectives for the enterprise’s current and target
                                            environments, and calls for a transition plan between the two.

                                            Several laws and regulations have established requirements and guidance,
                                            respectively, for agencies’ management of architectures, beginning with the
                                            Clinger-Cohen Act in 1996,11 which directs the CIOs of major departments
                                            and agencies to develop, maintain, and facilitate the implementation of IT
                                            architectures as a means of integrating agency goals and business
                                            processes with IT. OMB Circular A-130, which implements the Clinger-
                                            Cohen Act, requires that agencies document and submit their initial
                                            enterprise architectures to OMB and that agencies submit updates to OMB
                                            when significant changes to their enterprise architectures occur. The
                                            circular also directs the OMB Director to use various kinds of reviews to
                                            evaluate the adequacy and efficiency of each agency’s compliance with the
                                            circular.




                                            11
                                                 Public Law 104-106, 40 U.S.C. 11315.




                                            Page 7                                                    GAO-04-40 Enterprise Architecture
                              OMB was given explicit responsibility for overseeing government
                              enterprise architectures by the E-Government Act of 2002,12 which
                              established the Office of Electronic Government within OMB. This act
                              gives OMB the responsibility for facilitating the development of enterprise
                              architectures within and across agencies and supporting improvements in
                              government operations through the use of IT.



Prior Work Indicates          We began reviewing federal agencies’ use of architectures in 1994, initially
Opportunities for Improving   focusing on those agencies that were pursuing major systems
                              modernization programs that were high risk. These included the National
Enterprise Architectures
                              Weather Service systems modernization,13 the Federal Aviation
                              Administration air traffic control modernization,14 and the Internal Revenue
                              Service (IRS) tax systems modernization.15 Generally, we reported that
                              these agencies’ enterprise architectures were incomplete, and we made
                              recommendations that they develop and implement complete enterprise
                              architectures to guide their modernization efforts.




                              12
                                   Public Law 107-347.
                              13
                               U.S. General Accounting Office, Weather Forecasting: Systems Architecture Needed for
                              National Weather Service Modernization, GAO/AIMD-94-28 (Washington, D.C.: Mar. 11,
                              1994).
                              14
                               U.S. General Accounting Office, Air Traffic Control: Complete and Enforced Architecture
                              Needed for FAA Systems Modernization, GAO/AIMD-97-30 (Washington, D.C.: Feb. 3, 1997).
                              15
                               U.S. General Accounting Office, Tax Systems Modernization: Blueprint Is a Good Start
                              but Not Yet Sufficiently Complete to Build or Acquire Systems, GAO/AIMD/GGD-98-54
                              (Washington, D.C.: Feb. 24, 1998).




                              Page 8                                                GAO-04-40 Enterprise Architecture
Since then, we have reviewed architecture management at other federal
agencies, including the Department of Education,16 the former Customs
Service,17 the former Immigration and Naturalization Service,18 and the
Centers for Medicare and Medicaid Services.19 We have also reviewed the
use of enterprise architectures for critical agency functional areas, such as
the integration and sharing of terrorist watch lists across key federal
departments,20 and the logistics management area within DOD.21 These
reviews have continued to identify the absence of complete and enforced
enterprise architectures, which in turn has led to agency business
operations, systems, and data that are not integrated (“stovepiped”),
duplicative, and incompatible. These conditions have either prevented
agencies from sharing data or forced them to depend on expensive,
custom-developed interface systems to do so.



16
 U.S. General Accounting Office, Student Financial Aid Information: Systems
Architecture Needed to Improve Programs’ Efficiency, GAO/AIMD-97-122 (Washington,
D.C.: July 29, 1997).
17
 U.S. General Accounting Office, Customs Service Modernization: Architecture Must Be
Complete and Enforced to Effectively Build and Maintain Systems, GAO/AIMD-98-70
(Washington, D.C.: May 5, 1998).
18
 U.S. General Accounting Office, Information Technology: INS Needs to Better Manage the
Development of Its Enterprise Architecture, GAO/AIMD-00-212 (Washington, D.C.: Aug. 1,
2000).
19
 U.S. General Accounting Office, Medicare: Information Systems Modernization Needs
Stronger Management and Support, GAO-01-824 (Washington, D.C.: Sept. 20, 2001).
20
 U.S. General Accounting Office, Information Technology: Terrorist Watch Lists Should Be
Consolidated to Promote Better Integration and Sharing, GAO-03-322 (Washington, D.C.:
Apr. 15, 2003).
21
 U.S. General Accounting Office, Information Technology: Architecture Needed to Guide
Modernization of DOD’s Financial Operations, GAO-01-525 (Washington, D.C.: May 17,
2001); Information Technology: DLA Should Strengthen Business Systems Modernization
Architecture and Investment Activities, GAO-01-631 (Washington, D.C.: June 29, 2001);
Combat Identification Systems: Strengthened Management Efforts Needed to Ensure
Required Capabilities, GAO-01-632 (Washington, D.C.: June 25, 2001); DOD Business
Systems Modernization: Improvements to Enterprise Architecture Development and
Implementation Efforts Needed, GAO-03-458 (Washington, D.C.: Feb. 28, 2003);
Information Technology: Observations on Department of Defense’s Draft Enterprise
Architecture, GAO-03-571R (Washington, D.C.: Mar. 28, 2003); DOD Business Systems
Modernization: Longstanding Management and Oversight Weaknesses Continue to Put
Investments at Risk, GAO-03-553T (Washington, D.C.: Mar. 31, 2003); and Business Systems
Modernization: Summary of GAO’s Assessment of the Department of Defense’s Initial
Business Enterprise Architecture, GAO-03-877R (Washington, D.C.: July 7, 2003).




Page 9                                                GAO-04-40 Enterprise Architecture
Our Enterprise Architecture   In 2002, we published Version 1.0 of our Enterprise Architecture
Management Maturity           Management Maturity Framework (EAMMF) to provide federal agencies
                              with a common benchmarking tool for planning and measuring their
Framework                     enterprise architecture efforts, as well as to provide OMB with a means for
                              doing the same governmentwide.22 This framework is an extension of A
                              Practical Guide to Federal Enterprise Architecture, Version 1.0,
                              published by the CIO Council. The framework arranges core elements from
                              the practical guide into a matrix of five hierarchical stages and four critical
                              success attributes; that is, each core element appears at a particular stage
                              of maturity, and it is also associated with one of the critical success
                              attributes. In April 2003, we published Version 1.1 of this framework,23
                              which reflects changes and additions that are based on comments we
                              received on the initial version.

EAMMF Version 1.0             The EAMMF is made up of five stages of maturity, each of which includes
                              an associated set of elements, along with all of the elements of the previous
                              stages. Table 2 shows these stages, followed by the description of each as
                              contained in Version 1.0 of our framework.



                              Table 2: Framework Stages for Enterprise Architecture Maturity

                              Stage               Description
                              1                   Creating EA awareness
                              2                   Building the EA management foundation
                              3                   Developing architecture products
                              4                   Completing EA products
                              5                   Leveraging the EA to manage change
                              Source: GAO.

                              Legend: EA enterprise architecture.


                              • Stage 1: Creating EA awareness. Agencies at this stage are
                                characterized either by no plans to develop and use an enterprise
                                architecture, or by plans and actions that do not yet demonstrate an
                                awareness of the value of having and using one. Although Stage 1


                              22
                                   GAO-02-6.
                              23
                                   GAO-03-584G.




                              Page 10                                                  GAO-04-40 Enterprise Architecture
   agencies may have initiated some enterprise architecture core elements,
   these agencies’ efforts are ad hoc and unstructured, and they do not
   provide the management foundation that is necessary for successful
   enterprise architecture development.

• Stage 2: Building the EA management foundation. The focus at
  Stage 2 is on assignment of roles and responsibilities and establishment
  of plans for developing enterprise architecture products. Specifically, a
  Stage 2 agency has designated a chief architect and established and
  staffed a program office that is responsible for enterprise architecture
  development. Further, a steering committee or group that has
  responsibility for directing and overseeing the development has been
  established, and the membership of the steering committee includes
  business and IT representatives. At Stage 2, the agency either has plans
  for developing or has begun development of at least some of the
  necessary enterprise architecture products. This stage also requires the
  agency to have selected both a framework that will be the basis for the
  nature and content of the specific products it plans to develop and an
  automated tool to help in the development.

• Stage 3: Developing architecture products. At Stage 3, an agency
  focuses on actual development of enterprise architecture products. The
  agency has defined the scope of its enterprise architecture as
  encompassing the entire enterprise, whether an organization or a
  functional area, and it has a written and approved policy demonstrating
  institutional commitment. Although the products may not yet be
  complete, they are intended to describe the agency in terms of business,
  data, applications, and technology. Further, the products are to describe
  the current and future states and the sequencing plan for transitioning
  from current to future state. As the architecture products are being
  developed, they are to be subject to configuration control.

• Stage 4: Completing EA products. An agency at Stage 4 has
  complete and approved enterprise architecture products that it can use
  to help select and control its portfolio of IT investments. The complete
  products describe the organization in terms of business, data,
  applications, and technology. Also, the products are complete in that
  they describe the agency’s current and future states and the transition
  plan for sequencing from the current state to the future state. Further,
  the agency’s CIO has approved the enterprise architecture, and the
  agency has a written policy requiring that IT investments comply with
  the enterprise architecture.



Page 11                                       GAO-04-40 Enterprise Architecture
• Stage 5: Leveraging the EA to manage change. At Stage 5, an
  agency is able to evolve the enterprise architecture products according
  to a written and approved policy for maintaining the architecture. Also
  at this stage, the steering committee, investment review board, or
  agency head approves the enterprise architecture. Finally, the agency
  has incorporated the enterprise architecture into its corporate decision
  making, and it has established and is using metrics to measure the
  effectiveness of its enterprise architecture.

In addition to the maturity stages, each core element is also associated with
attributes that are critical to the successful performance of any
management function (see table 3). The critical success attributes are
identical in Versions 1.0 and 1.1 of our framework.



Table 3: Critical Success Attributes of our EAMMF Versions 1.0 and 1.1

Attribute           Description
1                   Demonstrates commitment
2                   Provides capability to meet commitment
3                   Demonstrates satisfaction of commitment
4                   Verifies satisfaction of commitment
Source: GAO.


Attribute 1: Demonstrates commitment. Because the enterprise
architecture is a corporate asset for systematically managing institutional
change, the support and sponsorship of the head of the enterprise are
essential to the success of the architecture effort. An approved enterprise
policy statement provides such support and sponsorship, promoting
institutional “buy in” and encouraging resource commitment from
participating components. Equally important in demonstrating
commitment is vesting ownership of the architecture with an executive
body that collectively owns the enterprise.

Attribute 2: Provides capability to meet commitment. The success of
the enterprise architecture effort depends largely on the organization’s
capacity to develop, maintain, and implement the enterprise architecture.
Consistent with any large IT project, these capabilities include providing
adequate resources (i.e., people, processes, and technology); defining clear
roles and responsibilities; and defining and implementing organizational




Page 12                                               GAO-04-40 Enterprise Architecture
structures and process management controls that promote accountability
and effective project execution.

Attribute 3: Demonstrates satisfaction of commitment. Satisfaction
of the organization’s commitment to develop, maintain, and implement an
enterprise architecture is demonstrated by the production of artifacts (e.g.,
the plans and products). Such artifacts demonstrate “follow through”—
actual enterprise architecture production. Satisfaction of commitment is
further demonstrated by senior leadership approval of enterprise
architecture documents and artifacts; such approval communicates
institutional endorsement and ownership of the architecture and the
change that it is intended to drive.

Attribute 4: Verifies satisfaction of commitment. This attribute
focuses on measuring and disclosing the extent to which efforts to develop,
maintain, and implement the enterprise architecture have fulfilled stated
goals or commitments. Measuring such performance allows for tracking
progress that has been made toward stated goals, allows the appropriate
actions to be taken when performance deviates significantly from goals,
and creates incentives to influence both institutional and individual
behaviors.

Collectively, these attributes form the basis by which an organization can
institutionalize management of any given function or program, such as
enterprise architecture management. Within each stage, each critical
success attribute includes between one and four core elements, which are
descriptions of a practice or condition that is needed for effective
enterprise architecture management. On the basis of the implicit
dependencies among the core elements, the EAMMF associates each
element with one of five hierarchical management stages, referred to as
maturity stages. Each stage reflects the collection of enterprise
architecture management practices and conditions (i.e., core elements)
that are being undertaken by an enterprise at a given maturity level.

Figure 1 is a summary of Version 1.0 of the framework, showing the key
elements associated with the stages and attributes previously described.




Page 13                                        GAO-04-40 Enterprise Architecture
Figure 1: Enterprise Architecture Management Maturity Framework (Version 1.0)

                                                                                                                                  Stage 5:
                                                                                                  Stage 4:                        Leveraging the EA
                                                                  Stage 3:                        Completing
                               Stage 2:                           Developing                                                      for managing
                   Stage 1:                                                                       architecture
                               Building the EA management         architecture                                                    change
                   Creating                                                                       products
                               foundation                         products
                   EA
                   awareness
 Attribute 1:      Agency is   Committee or group                 Written/approved policy         Written/approved policy         Written/approved
 Demonstrates      aware of    representing the enterprise        exists for EA development.      exists for information          policy exists for EA
 commitment        EA.         is responsible for directing,                                      technology investment           maintenance.
                               overseeing, or approving EA.                                       compliance with EA.

 Attribute 2:                  Program office responsible         EA products are under
 Provides                      for EA development exists.         configuration management.
 capability to
 meet                          Chief architect exists.
 commitment
                               EA being developed using
                               a framework and
                               automated tool.
 Attribute 3:                  EA plans                           EA products                     EA products                     Either EA steering
 Demonstrates                  • call for describing enter-       • describe or will describe     • describe enterprise's         committee, investment
 satisfaction of                 prise in terms of business,        enterprise's business—          business—and the data,        review board, or
 commitment                      data, applications, or             and the data,                   applications, and             agency head has
                                 technology;                        applications, and               technology that support it;   approved EA.
                               • call for describing "as is"        technology that support it;   • describe "as is" environ-
                                 environment, "to be"             • describe or will describe       ment, "to be" environment,
                                 environment, or                    "as is" environment, "to        and sequencing plan.
                                 sequencing plan.                   be" environment, and
                                                                    sequencing plan.              Agency chief information
                                                                                                  officer has approved EA.
                                                                  EA scope is enterprise-
                                                                  focused.

 Attribute 4:                                                                                                                     Metrics exist for
 Verifies                                                                                                                         measuring EA
 satisfaction of                                                                                                                  benefits.
 commitment

                                                                               Maturation

Source: GAO.


                                                  Note: Each stage includes all elements of the previous stages.




                                                  Page 14                                                          GAO-04-40 Enterprise Architecture
EAMMF Version 1.1   Version 1.1 of this framework was released in April 2003. Like the initial
                    version, Version 1.1 is based on the CIO Council guidance24 and augmented
                    by our research experience in reviewing architecture programs. Changes
                    and additions to the framework were also based on comments received on
                    the initial version. As a comparison between the two frameworks shows, a
                    number of new elements have been added to Version 1.1. Figure 2 shows a
                    summary of the new framework, Version 1.1.




                    24
                     CIO Council, A Practical Guide to Federal Enterprise Architecture, Version 1.0 (February
                    2001).




                    Page 15                                                GAO-04-40 Enterprise Architecture
Figure 2: Enterprise Architecture Management Maturity Framework (Version 1.1)

                                                                                                                                 Stage 5:
                                                                                                  Stage 4:                       Leveraging the EA
                                                                     Stage 3:                     Completing EA
                               Stage 2:                              Developing EA                                               to manage change
                   Stage 1:                                                                       products
                               Building the EA management            products
                   Creating
                               foundation
                   EA
                   awareness
 Attribute 1:                  Adequate resources exist.             Written and approved       Written and approved             Written and approved
 Demonstrates                  Committee or group representing       organization policy exists organization policy exists       organization policy
 commitment                    the enterprise is responsible for     for EA development.        for EA maintenance.              exists for IT investment
                               directing, overseeing, or approving                                                               compliance with EA.
                               EA.
 Attribute 2:                  Program office responsible for EA     EA products are under        EA products and                Process exists to
 Provides                      development and maintenance           configuration                management processes           formally manage EA
 capability to                 exists.                               management.                  undergo independent            change.
 meet                          Chief architect exists.                                            verification and validation.   EA is integral
 commitment                                                                                                                      component of IT
                               EA is being developed using a
                               framework, methodology, and                                                                       investment
                               automated tool.                                                                                   management process.

 Attribute 3:                  EA plans call for describing both     EA products describe or      EA products describe both      EA products are
 Demonstrates                  “as-is” and “to-be” environments of   will describe both “as-is”   “as-is” and “to-be”            periodically updated.
 satisfaction of               the enterprise, as well as a          and “to-be” environments,    environments, as well as a     IT investments comply
 commitment                    sequencing plan for transitioning     as well as a sequencing      sequencing plan.               with EA.
                               from the “as-is” to the “to-be.”      plan.
                                                                                                                                 Organization head has
                               EA plans call for describing both     Both “as-is” and “to-be”     Both “as-is” and “to-be”       approved current
                               “as-is” and “to-be” environments in   environments are             environments are described     version of EA.
                               terms of business, performance,       described or will be         in terms given in Stage 2.
                               information/data, application/        described in terms given
                               service, and technology.              in Stage 2.
                               EA plans call for business,         These descriptions (see        These descriptions (see
                               performance, information/data,      Stage 2) address or will       Stage 2) address security.
                               application/service, and technology address security.              Organization CIO has
                               descriptions to address security.                                  approved current version of
                                                                                                  EA.
                                                                                                  Committee or group
                                                                                                  representing the enterprise
                                                                                                  or the investment review
                                                                                                  board has approved current
                                                                                                  version of EA.
 Attribute 4:                  EA plans call for developing          Progress against EA          Quality of EA products is      Return on EA
 Verifies                      metrics for measuring EA              plans is measured and        measured and reported.         investment is measured
 satisfaction of               progress, quality, compliance,        reported.                                                   and reported.
 commitment                    and return on investment.                                                                         Compliance with EA is
                                                                                                                                 measured and reported.
                                                                               Maturation

Source: GAO.


                                                  Note: Each stage includes all elements of the previous stages.




                                                  Page 16                                                          GAO-04-40 Enterprise Architecture
The stages and attributes remain the same as with Version 1.0, although the
descriptions of the stages are updated in Version 1.1 to reflect the new
elements in the framework, as follows:

Stage 1: Creating EA awareness. As with Version 1.0, at Stage 1, either
an organization does not have plans to develop and use an architecture, or
it has plans that do not demonstrate an awareness of the value of having
and using an architecture. Although Stage 1 agencies may have initiated
some enterprise architecture activity, these agencies’ efforts are ad hoc and
unstructured, lack institutional leadership and direction, and do not
provide the management foundation that is necessary for successful
enterprise architecture development as defined in Stage 2.

Stage 2: Building the EA management foundation. An organization
at Stage 2 recognizes that the enterprise architecture is a corporate asset by
vesting accountability for it in an executive body that represents the entire
enterprise. At this stage, an organization assigns enterprise architecture
management roles and responsibilities and establishes plans for developing
enterprise architecture products and for measuring program progress and
product quality. An organization at this stage also commits the necessary
resources for developing an architecture—people, processes, and tools.
Specifically, a Stage 2 organization has designated a chief architect and
established and staffed a program office that is responsible for enterprise
architecture development and maintenance. Further, it has established a
committee or group that has responsibility for enterprise architecture
governance (i.e., directing, overseeing, and approving architecture
development and maintenance). This committee or group membership has
enterprisewide representation. At Stage 2, the organization either has plans
for developing or has started developing at least some enterprise
architecture products, and it has fostered an enterprisewide awareness of
the value of enterprise architecture and its intended use in managing its IT
investments. The organization has also selected a framework and a
methodology that will be the basis for developing the enterprise
architecture products and has selected a tool for automating these
activities.

Stage 3: Developing the EA. An organization at Stage 3 focuses on
developing architecture products according to the selected framework,
methodology, tool, and established management plans. Roles and
responsibilities assigned in the previous stage are in place, and resources
are being applied to develop actual enterprise architecture products. At
this stage, the scope of the architecture has been defined to encompass the



Page 17                                         GAO-04-40 Enterprise Architecture
entire enterprise, whether an organization or a functional area. Although
the products may not be complete, they are intended to describe the
organization in terms of business, performance, information/data,
service/application, and technology (including security explicitly in each),
as provided for in the framework, methodology, tool, and management
plans. Further, the products are to describe the current (“as-is”) and future
(“to-be”) states and the plan for transitioning from the current to the future
state (the sequencing plan). As the products are developed and evolve, they
are subject to configuration management. Further, through the established
enterprise architecture management foundation, the organization is
tracking and measuring its progress against plans; identifying and
addressing variances, as appropriate; and then reporting on its progress.

Stage 4: Completing the EA. An organization at Stage 4 has completed
its enterprise architecture products, meaning that the products have been
approved by the enterprise architecture steering committee (established in
Stage 2) or an investment review board, and by the CIO. The completed
products collectively describe the enterprise in terms of business,
performance, information/data, service/application, and technology for
both its current and future operating states, and the products include a
sequencing plan for transitioning from the current to the future state.
Further, an independent agent has assessed the quality (i.e., completeness
and accuracy) of the enterprise architecture products. Additionally,
evolution of the approved products is governed by a written enterprise
architecture maintenance policy that is approved by the head of the
organization.

Stage 5: Leveraging the EA to manage change. An organization at
Stage 5 has secured senior leadership approval of the enterprise
architecture products and a written institutional policy stating that IT
investments must comply with the architecture, unless granted an explicit
compliance waiver. Further, decision makers are using the architecture to
identify and address ongoing and proposed IT investments that are
conflicting, overlapping, not strategically linked, or redundant. As a result,
Stage 5 entities avoid unwarranted overlap across investments and ensure
maximum systems interoperability, which in turn ensures the selection and
funding of IT investments with manageable risks and returns. Also, at Stage
5, the organization tracks and measures enterprise architecture benefits or
return on investment, and adjustments are continuously made to both the
enterprise architecture management process and the enterprise
architecture products.




Page 18                                         GAO-04-40 Enterprise Architecture
Significant Differences between   Overall, Version 1.1 is more demanding (i.e., sets a higher standard) than
EAMMF Versions 1.0 and 1.1        Version 1.0 because Version 1.1 adds important content, clarifies existing
                                  content, and links the EAMMF framework to related IT management
                                  guidance, such as our IT investment management framework. 25 Key
                                  differences in Version 1.1 of the framework appear first in Stage 2 and
                                  affect later stages either explicitly or implicitly. That is, some planning
                                  elements associated with Stage 2 now propagate explicitly through later
                                  stages as plans are executed and architecture products are developed,
                                  completed, and implemented. For example:

                                  • Version 1.1 includes “performance” among the models that are needed
                                    to describe the “as-is” and “to-be” environments; these models are
                                    introduced into the planning elements in Stage 2 and built upon as plans
                                    are executed: that is, as architecture products are developed and
                                    completed in Stages 3 and 4, respectively.

                                  • Version 1.1 explicitly recognizes the need to address security in the
                                    descriptions of the “as-is” and “to-be” environments; this element is
                                    introduced in Stage 2 and reiterated in Stages 3 and 4.

                                  • Version 1.1 introduces the need to plan for metrics in Stage 2 and to
                                    measure different aspects of enterprise architecture development,
                                    quality, and use in Stages 3, 4, and 5.

                                  Other differences introduced in Version 1.1 affect later stages implicitly,
                                  since each stage includes all elements of previous stages. For example, in
                                  Stage 2, an element has been added that recognizes the need for adequate
                                  resources (people, processes, and technology). This element appears in
                                  Stage 2 explicitly, but it is included in later stages implicitly. Stage 4 now
                                  includes an element requiring that enterprise architecture products and
                                  management processes undergo independent verification and validation;
                                  this element continues in Stage 5.

                                  In addition, two core elements, both in Stage 2, have been altered from
                                  Version 1.0, as follows:




                                  25
                                   U.S. General Accounting Office, Information Technology Investment Management: A
                                  Framework for Assessing and Improving Process Maturity, Exposure Draft, GAO/AIMD-
                                  10.1.23 (Washington, D.C.: May 2000).




                                  Page 19                                           GAO-04-40 Enterprise Architecture
                                               • Enterprise architecture maintenance, in addition to development, is
                                                 now included among the responsibilities of the program office.

                                               • The use of an enterprise architecture methodology is added to the use of
                                                 a framework and automated tool in developing the architecture.

                                               Last, the sequence of two elements (the policies on maintenance and on IT
                                               investment compliance with the architecture) is reversed in Version 1.1.
                                               That is, maintenance policy is now associated with Stage 4 and investment
                                               compliance with Stage 5. This reordering reflects greater alignment of
                                               these elements with the definitions of their respective framework stages.

                                               Finally, several new elements were added to Stage 5 that provide for
                                               maximizing the value and use of the enterprise architecture by keeping it
                                               current and using it to manage change (including the existence of a process
                                               to formally manage enterprise architecture change, the enterprise
                                               architecture being an integral component of the IT investment management
                                               process, the periodic updating of enterprise architecture products, and the
                                               compliance of IT investments with the enterprise architecture). These and
                                               the other changes are summarized in table 4.



Table 4: Changes in Our EAMMF Version 1.1

Stage                New element or new aspect of element                                             Type of change
Stage 1: Creating EA (No element specified.)                                                          —
awareness
Stage 2: Building the The EA program should have adequate resources.                                  New element
EA management         A maintenance element was added to EA program office responsibilities.          Revised element
foundation
                      The EA should be developed using a methodology.                                 Revised element
                     EA plans must call for describing the “as-is” and “to-be” environments of the    Revised element
                     enterprise and a sequencing plan for moving from the “as-is” to the “to-be”
                     environment, instead of calling for describing only one or more of these
                     elements.
                     EA plans must address all descriptions of the “as-is” and “to-be” environments Revised element
                     of the enterprise (e.g., business, information/data), instead of addressing only
                     one or more of these descriptions.
                     “Performance” is added to the terms in which the “as-is” and “to-be”             Revised element
                     environments are described.
                     EA plans are to call for security to be explicitly addressed in all descriptions of New element
                     the enterprise.
                     EA plans should call for developing metrics for measuring EA progress, quality, New element
                     compliance, and return on investment.



                                               Page 20                                                 GAO-04-40 Enterprise Architecture
(Continued From Previous Page)
Stage                 New element or new aspect of element                                             Type of change
Stage 3: Developing   “Performance” is added to the terms in which the “as-is” and “to-be”             Revised element
the EA                environments are described.
                      EA products are to call for security to be explicitly addressed in all descriptions New element
                      of the enterprise.
                      Progress against EA plans is measured and reported.                              New element
Stage 4: Completing Written and approved organizational policy exists for EA maintenance.              Moved element
the EA              EA products and management processes should undergo independent                    New element
                    verification and validation.
                      “Performance” is added to the terms in which the “as-is” and “to-be”             Revised element
                      environments are described.
                      EA products explicitly address security in all descriptions of the enterprise.   New element
                      Quality of EA products is measured and reported.                                 New element
Stage 5: Leveraging   Written and approved organizational policy exists for IT investment compliance Moved element
the EA to manage      with EA.
change                Process exists to formally manage EA change.                                     New element
                      EA is integral component of IT investment management process.                    New element
                      EA products are periodically updated.                                            New element
                      IT investments comply with EA.                                                   New element
                      The organization head has approved the current version of the EA.                Revised element
                      Return on EA investment is measured and reported.                                New element
                      Compliance with EA is measured and reported.                                     New element
Source: GAO.




Our 2001 Survey Showed                         We first surveyed enterprise architecture management maturity across the
the Immature State of                          federal government in 2001, and we reported in February 200226 that about
                                               52 percent of federal agencies reported having at least the management
Federal Agency
                                               foundation that is needed to begin successfully developing, implementing,
Architecture Management                        and maintaining an enterprise architecture, and that about 48 percent of
                                               agencies had not yet advanced to that basic stage of maturity. At the other
                                               extreme, about 4 percent of federal agencies’ enterprise architecture
                                               efforts had matured to the point that they could be considered effective,
                                               with one agency attaining the highest stage of maturity. This overall state of
                                               affairs was consistent for the three agency types that we surveyed: cabinet-
                                               level departments (e.g., Treasury); department component agencies (e.g.,
                                               IRS, which is a component of Treasury); and independent agencies (e.g.,
                                               Social Security Administration).

                                               26
                                                    GAO-02-6.




                                               Page 21                                                  GAO-04-40 Enterprise Architecture
                       We also reported that the state of architecture management across the
                       federal government was attributable to four management challenges that
                       agencies reported facing as they attempt to develop and use architectures.
                       These challenges were (1) overcoming limited executive understanding,
                       (2) inadequate funding, (3) insufficient skilled staff, and (4) organizational
                       parochialism. Additionally, we recognized OMB’s efforts to promote and
                       oversee agencies’ enterprise architecture efforts. Nevertheless, we
                       determined that OMB’s leadership and oversight could be improved by, for
                       example, using a more structured means of measuring agencies’ progress
                       and by addressing the above management challenges. To this end, our
                       February 2002 report provided OMB with the necessary baseline data,
                       improvement framework, and several recommendations. OMB generally
                       agreed with our findings and conclusions in that report and stated that it
                       would consider our recommendations.



Agencies Are Making    Our 2003 survey results indicate that while some individual agencies have
                       made progress in improving their enterprise architecture management
Limited Architecture   maturity, progress for the federal government as a whole has not occurred.
Management Progress;   Specifically, while about one-fourth of all agencies improved their
                       enterprise architecture management maturity stage relative to Version 1.0
Most Programs Remain   of our framework, about one-fourth of all agencies decreased in maturity
Immature               and about one-half of all agencies remained at the same stage.
                       Furthermore, the more demanding standard established by our framework
                       Version 1.1 caused a decline in agency maturity levels, demonstrating that
                       improvements are needed before agencies’ enterprise architecture
                       management practices can be considered effective. The average maturity
                       stage for the 96 responses included in our survey was 1.76 when measured
                       against Version 1.0 of our framework and 1.33 when compared with Version
                       1.1 of our framework.

                       Appendix IV provides a list of these individual agencies and their maturity
                       stages.




                       Page 22                                         GAO-04-40 Enterprise Architecture
Agencies’ Architecture   Overall, little substantial change was revealed in agencies’ overall
Management Progress Is   enterprise architecture maturity when their efforts were compared with
                         Version 1.0 of our framework. Of the 93 agencies included in both our 2001
Limited                  and 2003 surveys, 22 agencies (24 percent) increased their respective
                         EAMMF maturity stages, 24 agencies (26 percent) decreased their stages,
                         and 47 agencies (51 percent) remained the same.27 (See fig. 3.)



                         Figure 3: Changes in Maturity Stages from 2001 to 2003 (93 agencies), Based on
                         EAMMF Version 1.0




                                                     24%            Increased




                                        51%          26%            Decreased




                                                                    Unchanged
                         Source: GAO.



                         At the department level,28 4 departments increased their maturity stage, 4
                         decreased, and 6 stayed at the same stage. The Department of Homeland
                         Security—which began operations as a department in March 2003—
                         debuted at Stage 3. Although progress for agencies in the aggregate
                         continued to be limited, departments as a group made the most progress:
                         the average maturity for the 14 departments that responded to both the


                         27
                              Numbers do not add to 100 percent due to rounding.
                         28
                          The Departments of Agriculture, Commerce, Defense, Health and Human Services, Justice,
                         Transportation, and the Treasury submitted both a department response and responses for
                         department component agencies (e.g., the Treasury’s Internal Revenue Service). The
                         Departments of Education, Energy, Homeland Security, Housing and Urban Development,
                         the Interior, Labor, State, and Veterans Affairs each submitted a single response that
                         combined the department and department component responses.




                         Page 23                                                   GAO-04-40 Enterprise Architecture
2001 and 2003 surveys increased from 1.93 to 2.00 against Version 1.0 of the
framework. In contrast, component agencies showed a slight decline in
maturity against Version 1.0. Specifically, of the component agencies that
responded to both surveys, 9 increased their maturity stage, 15 decreased
in maturity, and 31 stayed the same, with the average maturity stage
decreasing from 1.69 to 1.62. For independent agencies that responded to
both surveys, 9 increased their maturity stage, 5 decreased in maturity, and
10 stayed at the same stage. On average, independent agencies showed an
increase in maturity, from 1.75 to 1.96 against Version 1.0.

Figure 4 summarizes the maturity status of departments, components,
independent agencies, and all agencies, according to Version 1.0 of our
framework, and compares our 2001 and 2003 survey results.




Page 24                                        GAO-04-40 Enterprise Architecture
Figure 4: Agencies in Each Maturity Stage, According to EAMMF Version 1.0
All agencies                                                                         Departments
50         48                                                                        9
       44                                                                                                        8
                                                                                     8
40                                                                                   7
                         33                                                          6
30                                                                                         5                5
                              26                                                     5
                                                                                                                             4
                                                                                     4
20
                                                                                               3                                 3
                                              15                                     3
                                         12
                                                                                     2
10
                                                           4                   3     1
                                                                1          0                                                                     0               0
 0                                                                                   0
      Stage 1           Stage 2          Stage 3         Stage 4        Stage 5           Stage 1          Stage 2         Stage 3         Stage 4         Stage 5

                2001 survey (93 total agencies; average stage: 1.74)                               2001 survey (14 departments; average stage: 1.93)
                2003 survey (93 total agencies; average stage: 1.76)                               2003 survey (14 departments; average stage: 2.00)



Component agencies                                                                   Independent agencies
        35                                                                           12
35
                                                                                          11
30                                                                                            10
      28                                                                             10
                                                                                                         9       9
25
                                                                                      8

20                      19
                                                                                      6
15
                                                                                      4
10                            9               9                                                                              3    3
                                                                                                                                                                     2
                                         5                                            2
 5                                                        3                                                                                  1
                                                                1              1
                                                                           0                                                                     0           0
 0                                                                                    0
      Stage 1           Stage 2         Stage 3          Stage 4        Stage 5           Stage 1           Stage 2         Stage 3         Stage 4         Stage 5

                2001 survey (55 component agencies; average stage: 1.69)                            2001 survey (24 independent agencies; average stage: 1.75)

                2003 survey (55 component agencies; average stage: 1.62)                            2003 survey (24 independent agencies; average stage: 1.96)

Source: GAO.



                                                              Most agencies that made progress from 2001 to 2003 moved from a lower
                                                              maturity stage to Stage 2 or 3 (as shown in fig. 4, most agencies were
                                                              clustered in Stages 1 and 2, so this is not unexpected). In particular, of the
                                                              22 agencies that increased their maturity stage, 6 increased from Stage 1 to
                                                              Stage 2, and 12 increased from Stage 1 or 2 to Stage 3. Most agencies that
                                                              regressed fell to Stage 1 from Stages 2 and 3. Specifically, of the 24 agencies



                                                              Page 25                                                     GAO-04-40 Enterprise Architecture
that decreased their maturity stage, 16 decreased to Stage 1 from Stage 2 or
3. Figure 5 shows the number of agencies whose maturity levels improved
and declined between 2001 and 2003 as measured against Version 1.0 of our
maturity framework.



Figure 5: Agencies Whose Maturity Stages Improved or Declined from 2001 to 2003
against EAMMF Version 1.0

                                           Stage 5

                                 Stage 4

                      Stage 3

           Stage 2

Stage 1

    2003 agency maturity level

    2001 agency maturity level

Source: GAO.



Agencies’ progress since our first survey is similarly limited when we
consider the total number of core elements satisfied. The 93 agencies that
responded to both the 2001 and 2003 surveys satisfied an average of about
11 of the 19 elements in Version 1.0 in both 2001 and 2003. As a whole, the
93 agencies satisfied about 57 percent of all possible framework elements
in 2001 and about 60 percent of all possible framework elements in 2003.

From 2001 to 2003, agencies showed improvements in satisfying certain
core elements, but these improvements were offset by declines in agency
satisfaction of other core elements. Examples of core elements where
agency satisfaction significantly improved are as follows:

• “Metrics exist for measuring EA benefits” (about a 38 percent increase),

• “Chief architect exists” (about a 23 percent improvement), and

• “EA products are under configuration management” (about an
  18 percent increase).




Page 26                                              GAO-04-40 Enterprise Architecture
                                         Examples of core elements where agency satisfaction significantly
                                         declined are as follows:

                                         • “EA products describe ‘as-is’ environment, ‘to-be’ environment, and
                                           sequencing plan” (about a 39 percent decrease);

                                         • “EA products describe enterprise’s business—and the data,
                                           applications, and technology that support it” (about a 36 percent
                                           decrease);

                                         • “Either EA steering committee, investment review board, or agency
                                           head has approved EA” (about a 25 percent decrease); and

                                         • “Program office responsible for EA development exists” (about a 23
                                           percent decrease).

                                         Figures 6 to 10 show the number of agencies that satisfied the framework
                                         elements in each stage of Version 1.0 in 2001 and in 2003.



Figure 6: Agency Satisfaction of Stage 1 Elements in EAMMF Version 1.0: 2001 versus 2003 Results

 Stage 1: Creating EA awareness                    Percentage of agencies
                                                   0       10      20       30   40   50   60      70   80     90     100
 Agency is aware of EA.



                                                2001 results

                                                2003 results

Source: GAO.




                                         Page 27                                            GAO-04-40 Enterprise Architecture
Figure 7: Agency Satisfaction of Stage 2 Elements in EAMMF Version 1.0: 2001 versus 2003 Results

 Stage 2: Building the EA management foundation                     Percentage of agencies
                                                                    0           10   20      30   40   50   60    70     80     90     100
 Committee or group representing the enterprise is
 responsible for directing, overseeing, or approving EA.

 Program office responsible for EA development exists.


 Chief architect exists.


 EA being developed using a framework and automated
 tool.

 EA plans call for describing enterprise in terms of business,
 data, applications, or technology.

 EA plans call for describing "as is" environment, "to be"
 environment, or sequencing plan.


                                                                 2001 results
                                                                 2003 results

Source: GAO.




                                                      Page 28                                                GAO-04-40 Enterprise Architecture
Figure 8: Agency Satisfaction of Stage 3 Elements in EAMMF Version 1.0: 2001 versus 2003 Results

 Stage 3: Developing architecture products                         Percentage of agencies
                                                                  0        10       20      30   40   50   60    70     80     90     100
 Written/approved policy exists for EA development.


 EA products are under configuration management.


 EA products describe or will describe enterprise's
 business-and the data, applications, and technology that
 support it.
 EA products describe or will describe "as is" environment,
 "to be" environment, and sequencing plan.

 EA scope is enterprise-focused.



                                                                2001 results
                                                                2003 results

Source: GAO.




Figure 9: Agency Satisfaction of Stage 4 Elements in EAMMF Version 1.0: 2001 versus 2003 Results

 Stage 4: Completing architecture products                         Percentage of agencies
                                                                   0           10   20      30   40   50   60    70     80     90     100
 Written/approved policy exists for information technology
 investment compliance with EA.

 EA products describe enterprise's business-and the data,
 applications, and technology that support it.

 EA products describe "as is" environment, "to be"
 environment, and sequencing plan.

 Agency chief information officer has approved EA.




                                                                2001 results
                                                                2003 results

Source: GAO.




                                                      Page 29                                               GAO-04-40 Enterprise Architecture
Figure 10: Agency Satisfaction of Stage 5 Elements in EAMMF Version 1.0: 2001 versus 2003 Results

 Stage 5: Leveraging the EA for managing change                    Percentage of agencies
                                                                  0        10      20       30   40   50   60    70     80     90     100
 Written/approved policy exists for EA maintenance.


 Either EA steering committee, investment review board, or
 agency head has approved EA.

 Metrics exist for measuring EA benefits.




                                                                2001 results

                                                                2003 results


Source: GAO.



                                                      Appendixes V, VI, and VII provide detailed tables showing each of the 93
                                                      agencies’ status regarding the elements of the framework.

                                                      For the 22 agencies that advanced one or more maturity stages from 2001
                                                      to 2003, fulfillment of no single core element resulted in these
                                                      advancements. That is, for the 22 agencies, increases in maturity stages are
                                                      attributable to the fulfillment of 7 core elements spanning three stages of
                                                      maturity. Table 5 shows those newly satisfied core elements that accounted
                                                      for increases in maturity stage.




                                                      Page 30                                               GAO-04-40 Enterprise Architecture
Table 5: Core Elements That Most Frequently Contributed to Maturity Stage Increases

Agencies increasing                                                                                                 Number of agencies
maturity stage                Core elements whose fulfillment most frequently contributed to increase                 fulfilling element
12 agencies increased         Stage 2 elements:
maturity from Stage 1 (6 to   Chief architect exists                                                                              6 of 12
Stage 2, 6 to Stage 3)
                              Program office responsible for EA development exists                                                6 of 12
                              Committee or group representing the enterprise is responsible for directing,                        6 of 12
                              overseeing, or approving EA
                              EA being developed using framework and automated tool                                               4 of 12
8 agencies increased          Stage 3 elements:
maturity from Stage 2 (6 to   EA products are under configuration management                                                       7 of 8
Stage 3, 1 to Stage 4, 1 to
Stage 5)                      Written and approved policy exists for EA development                                                5 of 8
2 agencies increased          Stage 5 element:
maturity from Stage 4         Metrics exist for measuring EA benefits                                                              2 of 2
Source: GAO.


                                                As with increases in agency maturity levels, no single core element
                                                accounted for the decreases in agency maturity between our 2001 and 2003
                                                surveys. However, as shown in table 6, the Stage 2 framework element
                                                requiring a program office was the most significant newly unsatisfied
                                                element for the 24 agencies that decreased maturity levels.




                                                Page 31                                                 GAO-04-40 Enterprise Architecture
                             Table 6: Core Elements That Most Frequently Contributed to Maturity Stage
                             Decreases

                                                                                                          Number of
                             Agencies                                                                   agencies not
                             decreasing          Core elements whose fulfillment most frequently            fulfilling
                             maturity stage      contributed to decrease                                    element
                             16 agencies         Stage 2 elements:
                             decreased           Program office responsible for EA development exists         13 of 16
                             maturity to Stage
                             1 (12 from          Chief architect exists                                        4 of 16
                             Stage 2, 4 from
                             Stage 3)
                             7 agencies          Stage 3 elements:
                             decreased           Written and approved policy exists for EA                      6 of 7
                             maturity to Stage   development
                             2 (6 from
                             Stage 3, 1 from     EA products are under configuration management                 3 of 7
                             Stage 4)
                             1 agency            Stage 4 elements:
                             decreased           EA products describe “as-is” environment, “to-be”              1 of 1
                             maturity to Stage   environment, and sequencing plan
                             3 (from Stage 4)
                                                 EA products describe enterprise’s business—and the             1 of 1
                                                 data, applications, and technology that support it
                             Source: GAO.


                             One factor accounting for decreases in maturity is improved accuracy in
                             agencies’ responses to our survey. Improved accuracy is a function of
                             (1) improved agency familiarity with and understanding of enterprise
                             architecture management and our framework since our last survey and
                             (2) the requirement in our 2003 survey for documentation to support
                             certain survey responses.



Current State of             When compared with Version 1.1 of our framework, the state of enterprise
Architecture Management      architecture management across the federal government is not mature. In
                             particular, about 21 percent of federal agencies (20 of 96) have the Stage 2
across Federal Agencies Is   management foundation that is needed to begin successfully developing,
Not Mature                   implementing, and maintaining an enterprise architecture, and about 79
                             percent of agencies (76 of 96) have not yet advanced to this basic stage of
                             maturity. One agency, the Executive Office of the President, provided
                             responses placing it at a stage of enterprise architecture management
                             maturity that can be considered mature and effective. This overall state of
                             federal government maturity is consistent for each of the three groups that



                             Page 32                                                 GAO-04-40 Enterprise Architecture
                                                       make up the 96 agencies surveyed: departments, component agencies, and
                                                       independent agencies. Figure 11 summarizes the maturity status of
                                                       departments, component agencies, independent agencies, and all agencies
                                                       according to Version 1.1 of our framework.



Figure 11: Agencies in Each Stage, According to EAMMF Version 1.1
All agencies (96 total, average stage: 1.33)                               Departments (16 total, average stage: 1.75)
80       76                                                                       8
                                                                           8

                                                                           7
60                                                                         6

                                                                           5
40                                                                         4                       4               4

                                                                           3
20                                                                         2
                         10              9                                 1
                                                       0           1                                                                0         0
 0                                                                         0
      Stage 1        Stage 2          Stage 3        Stage 4     Stage 5           Stage 1      Stage 2         Stage 3           Stage 4   Stage 5




Component agencies (56 total, average stage: 1.23)                         Independent agencies (24 total, average stage: 1.29)
50    48
                                                                                     20
                                                                           20

40
                                                                           15
30

                                                                           10
20

                                                                               5
10                                                                                                 3
                                          5
                         3                                                                                                                    1
                                                        0           0                                              0                0
 0                                                                             0
      Stage 1        Stage 2          Stage 3        Stage 4     Stage 5           Stage 1      Stage 2         Stage 3           Stage 4   Stage 5
Source: GAO.



                                                       No single core element that was added to our framework contributed
                                                       significantly to this situation, but the “methodology” subelement of the
                                                       Stage 2 element “EA is being developed with a framework, methodology,
                                                       and automated tool” was the most significant factor keeping agencies from
                                                       achieving Stage 2. Specifically, the absence of a “methodology” kept 7
                                                       agencies from attaining Stage 2 status.



                                                       Page 33                                                    GAO-04-40 Enterprise Architecture
Nevertheless, certain core elements of Version 1.1 of our framework were
frequently not satisfied by agencies. Of the 31 core elements in Version 1.1,
17 were not satisfied by over 50 percent of agencies. Furthermore, 8
elements associated with maturity Stages 4 and 5 were not satisfied by over
80 percent of agencies. Figures 12 to 16 show how departments,
component agencies, and independent agencies were rated against each of
the Version 1.1 core elements.




Page 34                                        GAO-04-40 Enterprise Architecture
Figure 12: Percentage of Departments, Component Agencies, and Independent Agencies That Satisfied Stage 2 Core Elements
of EAMMF Version 1.1

Stage 2                                                      Percent
Core element                                                 0                20     40   60               80             100
Adequate resources exist. [new]



Committee or group representing the enterprise is
responsible for directing, overseeing, or approving EA.
[new]

Program office responsible for EA development and
maintenance exists. [revised]

Chief architect exists.



EA is being developed using a framework,
methodology, and automated tool. [revised]

EA plans call for describing both the “as-is” and the “to-
be” environments of the enterprise, as well as a
sequencing plan for transitioning from the “as-is” to the
“to-be.” [revised]
EA plans call for describing both the “as-is” and the “to-
be” environments in terms of business, performance,
information/data, application/service, and technology.
[revised]
EA plans call for business, performance,
information/data, application/service, and technology
descriptions to address security. [new]
EA plans call for developing metrics for measuring EA
progress, quality, compliance, and return on
investment. [new]

                                                              Departments
                                                              Component agencies

                                                              Independent agencies

Source: GAO.




                                                      Page 35                                  GAO-04-40 Enterprise Architecture
Figure 13: Percentage of Departments, Component Agencies, and Independent Agencies That Satisfied Stage 3 Core Elements
of EAMMF Version 1.1

Stage 3                                                   Percent
Core element                                              0                 20     40   60               80             100
Written and approved organization policy exists for EA
development.


EA products are under configuration management.



EA products describe or will describe both the "as-is"
and the "to-be" environments of the enterprise, as well
as a sequencing plan for transitioning from the "as-is"
to the "to-be." [revised]
Both the "as-is" and the "to-be" environments are
described or will be described in terms of business,
performance, information/data, application/service, and
technology. [revised]
Business, performance, information/data,
application/service, and technology descriptions
address or will address security. [new]
Progress against EA plans is measured and reported.
[new]


                                                            Departments

                                                            Component agencies

                                                            Independent agencies

Source: GAO.




                                                    Page 36                                  GAO-04-40 Enterprise Architecture
Figure 14: Percentage of Departments, Component Agencies, and Independent Agencies That Satisfied Stage 4 Core Elements
of EAMMF Version 1.1

Stage 4                                                     Percent
Core element                                                0                20     40   60               80             100
Written and approved organization policy exists for EA
maintenance. [moved]


EA products and management processes undergo
independent verification and validation. [new]


EA products describe both the "as-is" and the "to-be"
environments of the enterprise, as well as a
sequencing plan for transitioning from the "as-is" to the
"to-be." [revised]
Both the "as-is" and the "to-be" environments are
described in terms of business, performance,
information/data, application/service, and technology.
[revised]
Business, performance, information/data,
application/service, and technology descriptions
address security. [new]
Organization CIO has approved current version of EA.


Committee or group representing the enterprise or the
investment review board has approved current version
of EA.
Quality of EA products is measured and reported.
[new]



                                                             Departments

                                                             Component agencies

                                                             Independent agencies

Source: GAO.




                                                      Page 37                                 GAO-04-40 Enterprise Architecture
Figure 15: Percentage of Departments, Component Agencies, and Independent Agencies That Satisfied Stage 5 Core Elements
of EAMMF Version 1.1

Stage 5                                                  Percent
Core element                                             0                20       40            60               80             100
Written and approved organization policy exists for IT
investment compliance with EA. [moved]


Process exists to formally manage EA change. [new]



EA is integral component of IT investment management
process. [new]


EA products are periodically updated. [new]



IT investments comply with EA. [revised]


Organization head has approved current version of EA.



Return on EA investment is measured and reported.
[new]

Compliance with EA is measured and reported. [new]




                                                          Departments

                                                          Component agencies

                                                          Independent agencies

Source: GAO.




                                                    Although significant gaps existed across federal agencies in meeting the
                                                    core elements of Version 1.1 of the framework, at least 80 percent of
                                                    agencies reported performing 8 core elements that were related to Stages 2
                                                    and 3 of our framework. The most often satisfied elements included the
                                                    following Stage 2 elements:

                                                    • “EA plans call for describing both the ‘as-is’ and the ‘to-be’ environments
                                                      of the enterprise, as well as a sequencing plan for transitioning from the
                                                      ‘as-is’ to the ‘to-be’”(about 94 percent);




                                                    Page 38                                           GAO-04-40 Enterprise Architecture
• “EA plans call for describing both the ‘as-is’ and the ‘to-be’ environments
  in terms of business, performance, information/data,
  application/service, and technology” (about 90 percent); and

• “EA plans call for business, performance, information/data,
  application/service, and technology descriptions to address security”
  (about 86 percent).

The most often satisfied elements also included the Stage 3 element:

• “EA products describe or will describe both the ‘as-is’ and the ‘to-be’
  environments of the enterprise, as well as a sequencing plan for
  transitioning from the ‘as-is’ to the ‘to-be’” (about 88 percent).

In addition, although only one agency has achieved Stage 5, most agencies
reported satisfying the Stage 5 core elements requiring that IT investments
comply with their enterprise architecture (about 80 percent) and that
enterprise architecture is an integral component of IT investment
management process (about 69 percent).

Furthermore, 96 percent of agencies in Stages 1 through 4 are performing
at least 1 core element above their current maturity stage,29 which means
that agencies as a whole are, to varying degrees, performing above their
assigned maturity stages. Specifically, of the 76 agencies at Stage 1, about
95 percent are performing at least 1 core element in a higher maturity stage.
About 35 percent of agencies need to satisfy only 1 additional core element
to advance to at least the next maturity stage. Two of these agencies,
Commerce and the U.S. Mint, could advance two stages by satisfying just 1
additional core element. Commerce, currently a Stage 1 agency, could
advance to Stage 3 by satisfying the framework element “Program office
responsible for development and maintenance exists.” The Mint, also
currently a Stage 1 agency, could advance to Stage 3 by satisfying the
framework element “Adequate resources exist.”

Departments, component agencies, and independent agencies had varying
degrees of success satisfying certain core elements within individual
stages. In general, departments had more success satisfying lower stage


29
 One agency—the Executive Office of the President—is currently performing at Stage 5 and
cannot perform above its current maturity stage. As a result, it is excluded from this
analysis.




Page 39                                               GAO-04-40 Enterprise Architecture
elements than did components and independent agencies. In Stage 2, for
example, while 69 percent of departments reported using a framework,
methodology, and automated tool to develop their enterprise architecture,
only 29 percent of components and 50 percent of independent agencies
reported the same. Additionally, in Stage 3, while 81 percent of departments
reported that progress against plans is measured and reported, only 25
percent of components and 25 percent of independent agencies reported
the same. One possible reason for this situation, which is discussed later in
this report, is that OMB’s oversight of agency enterprise architecture
efforts focuses on departments and major independent agencies—not on
component agencies.

Although, as a whole, departments satisfied more lower level framework
elements than did component agencies and independent agencies,
departments generally still need to satisfy several lower level framework
elements to achieve a Stage 3 maturity level. On average, each department
needs to satisfy 2 core elements to satisfy all Stage 2 and 3 framework
elements.

The maturity stage of a department generally was not indicative of the
maturity of its component agencies. For example, the Departments of
Health and Human Services and Transportation reached Stage 2, while
their component agencies averaged Stage 1. DOD’s Global Information Grid
(GIG) architecture30 was at Stage 3 and its Business Enterprise
Architecture was at Stage 1, while DOD components averaged slightly over
1. Conversely, the Departments of Commerce, Justice, and the Treasury
were at Stage 1, with their component agencies averaging higher maturity
levels. Component agencies of Commerce showed a slightly higher
maturity level than did component agencies of other departments.
Although the average maturity level of the 56 department component
agencies we surveyed was 1.23, the five Commerce component agencies
showed an average maturity level of 1.80, largely owing to the maturity
levels for the Bureau of the Census (Stage 3), the U.S. Patent and
Trademark Office (Stage 2), and the National Oceanic and Atmospheric
Administration (Stage 2). The Department of Agriculture’s maturity level
(Stage 1) was the same as the average maturity level of its component


30
   The GIG architecture describes the globally interconnected, end-to-end set of information
capabilities, associated processes, and personnel for collecting, processing, storing,
disseminating, and managing information on demand to war fighters, policy makers, and
support personnel.




Page 40                                                  GAO-04-40 Enterprise Architecture
                               agencies. Figure 16 summarizes the average maturity level for departments
                               and their respective component agencies.



                               Figure 16: Maturity Level of Departments and Their Component Agencies
                               Stages
                               5




                               4




                               3                                      GIG




                               2




                               1                                   BEA




                               0
                                    Agriculture     Commerce          Defense         Health &    Justice   Transportation   Treasury
                                                                                       Human
                                                                                      Services

                                              Maturity level for department
                                              Average maturity level for components

                               Source: GAO.


                               Note: The Department of Defense’s Global Information Grid (GIG) architecture was assessed at Stage
                               3. The Business Enterprise Architecture (BEA) was assessed at Stage 1.




Eight Agencies Are Either at   The results of our survey and analysis of survey responses against Version
or Close to Achieving Stage    1.1 of our maturity framework show that the Executive Office of the
                               President (EOP) is the sole Stage 5 agency. However, 7 other agencies are
5 Maturity                     close to becoming models of enterprise architecture management. For
                               example, the DOD GIG architecture and IRS, both of which attained Stage 3
                               of Version 1.1, need to satisfy only 3 more elements to become Stage 5
                               agencies. To achieve Stage 5, the GIG architecture needs to satisfy the
                               Stage 4 element “EA products describe both the ‘as-is’ and the ‘to-be’



                               Page 41                                                           GAO-04-40 Enterprise Architecture
                        environments of the enterprise, as well as a sequencing plan for
                        transitioning from the ‘as-is’ to the ‘to-be’ ” and the Stage 5 elements
                        “Return on EA investment is measured and reported” and “Organization
                        head has approved current version of EA.” IRS could become a Stage 5
                        agency by satisfying the Stage 4 elements “Business, performance,
                        information/data, application/service, and technology descriptions address
                        security” and “EA products and management processes undergo
                        independent verification and validation” and the Stage 5 element “Return
                        on EA investment is measured and reported.” Table 7 shows the agencies
                        that need to satisfy 5 or fewer elements to achieve Stage 5 under Version
                        1.1.



                        Table 7: Agencies That Need to Satisfy 5 or Fewer Elements to Achieve Stage 5

                                                                       Current                 Number of
                                                                       maturity       elements remaining
                        Agency                                           stage         to achieve Stage 5
                        Department of Defense, Global Information
                        Grid                                                  3                          3
                        Internal Revenue Service                              3                          3
                        Department of Veterans Affairs                        3                          4
                        Department of Housing and Urban
                        Development                                           3                          5
                        Bureau of Alcohol, Tobacco, Firearms and
                        Explosives                                            2                          5
                        U.S. Mint                                             1                          5
                        Office of Personnel Management                        1                          5
                        Source: GAO.




OMB Has Taken Action    OMB has taken a number of steps to promote, standardize, and improve
                        enterprise architecture use across the government. For example, OMB now
to Promote Enterprise   requires agencies to submit enterprise architectures for review. It also
Architecture, but       leads various CIO Council initiatives to develop the FEA, including
                        associated models, and to facilitate cross-agency efforts and major
Improvements Have       initiatives such as e-government. However, despite OMB’s actions, the
Not Occurred and        same management challenges facing agencies 2 years ago have increased in
Management              prevalence, and agencies report mixed results from OMB’s efforts to
                        address these challenges. The persistence of these challenges can be
Challenges Remain       attributed, at least in part, to the office not implementing our prior




                        Page 42                                           GAO-04-40 Enterprise Architecture
                            recommendations aimed at addressing them and improving its enterprise
                            architecture oversight.



OMB Has Taken Steps to      OMB recognizes the importance of enterprise architectures and has
Promote Agency Enterprise   supported their use since the passage of the Clinger-Cohen Act of 1996,
                            with particular emphasis and attention in the last 2 years. For example, in
Architecture                collaboration with others and us, OMB issued guidance on the purpose and
                            use of enterprise architectures shortly after passage of the act.31 It has also
                            incorporated enterprise architecture considerations into its oversight
                            processes and issued guidance directing that agency IT investments be
                            based on agency IT enterprise architectures.32 More recently, it has
                            launched efforts to promote the development and use of enterprise
                            architectures through the budget process and various CIO Council
                            initiatives.

                            As a means of promoting agencies’ enterprise architecture use, OMB has
                            also included requirements for having and using enterprise architectures as
                            part of the budget process, which began with the fiscal year 2002 budget
                            cycle and, according to OMB officials, has continued through the current
                            cycle (fiscal year 2005). More specifically:

                            • For the fiscal year 2002 budget cycle, OMB required agency budget
                              submissions to provide investment plans in several areas, including
                              enterprise architectures.33




                            31
                                 OMB, Information Technology Architectures, Memorandum M-97-16 (June 18, 1997).
                            32
                                 OMB (Nov. 30, 2000).
                            33
                                 OMB, Preparation and Submission of Budget Estimates, Circular A-11 (Nov. 30, 2001).




                            Page 43                                                  GAO-04-40 Enterprise Architecture
• For fiscal year 2003, OMB required departments and major agencies that
  are CIO Council members to address how IT investment decision
  making incorporated architecture alignment and, for agencies that do
  not have architectures, to provide a plan for developing one.34 OMB also
  assessed the status of major department and agency architectures
  against the CIO Council’s Practical Guide for Federal Enterprise
  Architecture and reported the assessment results in the President’s
  fiscal year 2003 budget. However, this assessment covered only 23 of the
  96 agencies included in this survey, and assessment results were not
  reported in a way to permit a clear understanding of the agencies’
  enterprise architecture management status or to facilitate year-to-year
  progress determinations. For example, for the Environmental
  Protection Agency (EPA), the assessment resulted in the following
  report: “EPA has the fundamental elements of an EA documented.”

• As part of the fiscal year 2004 budget cycle, OMB again assessed major
  department and agency architectures and reported the assessment
  results in the President’s fiscal year 2004 budget. However, the scope of
  the assessment again was not as comprehensive and meaningful as our
  survey results and covered only 22 of the 96 agencies included in this
  survey. For example, for the Department of Agriculture, OMB reported,
  “USDA’s EA is continuing to focus on the business, data, application, and
  technology layers of the EA. USDA is also working to integrate the EA
  efforts throughout the department.” Also for the fiscal year 2004 cycle,
  the office evaluated major IT investment business cases for consistency
  with agency architectures and with the FEA business reference model.

OMB has also worked through the CIO Council, which is co-chaired by
OMB’s Deputy Director of Management, to improve enterprise architecture
management and use. Specifically, the CIO Council established the
Architecture and Infrastructure Committee to, for example, develop
simpler and more consistent enterprise architecture terminology and
facilitate cross-agency enterprise architecture efforts. This committee has

34
 CIO Council members include the Departments of Agriculture, Commerce, Defense,
Education, Energy, Health and Human Services, Homeland Security, Housing and Urban
Development, the Interior, Justice, Labor, State, Transportation, the Treasury, and Veterans
Affairs. Major agencies that are CIO Council members include the Departments of the Army,
Navy, and Air Force; Environmental Protection Agency; Federal Emergency Management
Agency; Central Intelligence Agency; Small Business Administration; Social Security
Administration; National Aeronautics and Space Administration; Agency for International
Development; General Services Administration; National Science Foundation; Nuclear
Regulatory Commission; and Office of Personnel Management.




Page 44                                                  GAO-04-40 Enterprise Architecture
                      three subcommittees that, since being chartered in October 2002, have
                      organized, appointed leaders, established membership, and begun
                      implementing plans. The name and objective of each subcommittee are
                      provided below.

                      • The Enterprise Architecture Governance Subcommittee was established
                        to provide policy guidance and advice and assistance in the definition,
                        design, and implementation of enterprise architecture discipline and
                        practice throughout the federal government. It is expected to support
                        the alignment of the FEA with agency enterprise architectures and to
                        serve as the core federal group providing advocacy for enterprise
                        architecture integration of business and technology architectures across
                        state, local, and international boundaries.

                      • The Emerging Technology Subcommittee was created to identify
                        technologies with the potential to improve the value and quality of the
                        FEA.

                      • The Component Subcommittee is expected to foster the identification,
                        maturation, use, and reuse of component-based architectures and
                        architectural components35 in the federal government.



OMB Is Developing a   OMB’s development of the FEA is intended to facilitate governmentwide
Federal Enterprise    improvement through cross-agency analysis and the identification of
                      duplicative investments, gaps, and opportunities for collaboration,
Architecture          interoperability, and integration within and across government agencies.
                      According to OMB, the result will be a more citizen-centered, customer-
                      focused government that maximizes technology investments to better
                      achieve mission outcomes. As previously mentioned, the FEA will be
                      composed of five reference models:

                      Business reference model. The business reference model serves as the
                      foundation for the FEA. It is intended to describe the federal government’s
                      businesses, independent of the agencies that perform them. The model
                      consists of four business areas: (1) services for citizens, (2) mode of



                      35
                        OMB defines a component as a self-contained business process or service with
                      predetermined functionality that can be accessed through a technology or business
                      interface.




                      Page 45                                                GAO-04-40 Enterprise Architecture
delivery, (3) support delivery of services, and (4) management of
government resources.

These four business areas are decomposed into 39 lines of business, which
are made up of 153 subfunctions. Examples of lines of business under the
services for citizens business area are homeland security, law enforcement,
and economic development. Each of these lines of business includes a
number of subfunctions. For example, for the homeland security line of
business, a subfunction is border and transportation security; for law
enforcement, a subfunction is citizen protection; and for economic
development, a subfunction is financial sector oversight.

Version 1.0 of the model was released to agencies in July 2002 and was used
in the fiscal year 2004 budget process. According to OMB, Version 1.0 of the
model revealed that many federal agencies were involved in each line of
business, and that agencies’ proposed fiscal year 2004 IT investments
offered multibillion-dollar consolidation opportunities. In June 2003,
Version 2.0 was released, which, according to OMB, reflects changes to
align the model with other governmentwide management frameworks (e.g.,
budget function codes) and improvement initiatives (e.g., the President’s
Budget Performance Integration Initiative) and addresses comments from
agencies. OMB expects agencies to use the model, as part of their capital
planning and investment control processes, to help identify opportunities
to consolidate IT investments across the federal government.

Service component reference model. The service component reference
model is intended to identify and classify IT service (i.e., application)
components that support federal agencies and promote the reuse of
components across agencies. The model is organized as a hierarchy,
beginning with seven service domains, as shown in table 8.




Page 46                                        GAO-04-40 Enterprise Architecture
Table 8: Service Domains and the Capabilities That They Describe

Service domain           Description
Customer services        Interaction between the business and the customer, and
                         customer-driven activities (directly related to the end customer)
Process automation       Automation of process and management activities that support
services                 managing the business
Business            Management and execution of business functions and
management services organizational activities that maintain continuity across the
                    business
Digital asset services   Generation, management, and distribution of intellectual capital
                         and electronic media across the business
Business analytical      Extraction, aggregation, and presentation of information to
services                 facilitate decision analysis and business evaluation
Back office services     Management of transaction-based functions
Support services         Cross-functional capabilities that are independent of service
                         domains
Source: OMB.


These service domains are decomposed into 29 service types, which are
further broken down into 168 components. For example, the customer
services domain is made up of 3 service types: customer relationship
management, customer preferences, and customer-initiated assistance.
Components of the customer relationship management service type
include call center management and customer analytics, components of the
customer preferences service type include personalization and
subscriptions, and components of the customer-initiated assistance service
type include on-line help and on-line tutorials.

Version 1.0 of the service component reference model was released in June
2003. The model is intended to help agencies and OMB identify, among
other things, agencies that are building or have already built similar service
components that can be reused.

Technical reference model. The technical reference model is intended to
describe the standards, specifications, and technologies that collectively
support the secure delivery, exchange, and construction of service
components. The model is made up of the following four core service
areas:




Page 47                                                   GAO-04-40 Enterprise Architecture
• Service access and delivery: the collection of standards and
  specifications that support external access, exchange, and delivery of
  service components.

• Service platform and infrastructure: the delivery platforms and
  infrastructure that support the construction, maintenance, and
  availability of a service component or capabilities.

• Component framework: the underlying foundation, technologies,
  standards, and specifications by which service components are built,
  exchanged, and deployed.

• Service interface and integration: the collection of technologies,
  methodologies, standards, and specifications that govern how agencies
  will interface internally and externally with a service component.

Each of these service areas is made up of service categories, which identify
lower levels of technologies, standards, and specifications; service
standards, which define the standards and technologies that support the
service category; and the service specification, which details the standard
specification or the provider of the specification. For example, within the
first core service area (service access and delivery), an example of a
service category is access channels, and service standards are Web
browsers and wireless personal digital assistants. Examples of service
specifications for the Web browser service standard are Internet Explorer
and Netscape Navigator.

Version 1.0 of the technical reference model was released in January 2003,
followed by Version 1.1, reflecting minor revisions that were based, in part,
on agencies’ reviews, in August 2003. The model is intended to help
agencies in defining their target technical architectures.

Performance reference model. The performance reference model is
intended to describe a set of performance measures for the federal
government (i.e., outcome and output measures for each line of business
and subfunction identified in the business reference model). Thus, the
model is expected to support the measurement of cross-agency initiatives.
Version 1.0 of the model was released in September 2003.

Data and information reference model. The data and information
reference model is intended to describe the type of data and information
that support program and business line operations and the relationships



Page 48                                        GAO-04-40 Enterprise Architecture
among these types. Thus, the model is to help describe the types of
interactions and information exchanges that occur between the
government and its customers. OMB plans to release Version 1.0 of the
model in October 2003.

For the fiscal year 2005 budget cycle, OMB officials told us that they will
use the FEA performance, service component, and technical reference
models to evaluate agencies’ major IT investments.

Agency responses to our survey indicated high levels of understanding and
support for OMB’s FEA work. For example, about 80 percent of agencies
responded that they understand the goals and objectives of the FEA (about
8 percent did not) and that they support those goals and objectives (about 6
percent did not), and about 72 percent of agencies responded that their
agency’s architecture is traceable to the FEA (about 6 percent were not).
Additionally, about 67 percent responded that they understand the
approach to developing the FEA (about 13 percent did not), and about 63
percent stated that they support this approach (about 10 percent did not).
About 61 percent of agencies responded that their enterprise architecture
would change as a result of the FEA (about 8 percent would not). (See
table 9.)



Table 9: Summary of Agencies’ Responses to FEA-Related Statements

                                                                        Percentage of
                                     Percentage of    Percentage of     agencies that
                                     agencies that    agencies that    neither agreed
Statement                                  agreed         disagreed    nor disagreed
My agency understands the goals
and objectives of the FEA                      80                  8               12
My agency supports the goals and
objectives of the FEA                          80                  6               14
My agency’s EA is traceable to the
FEA                                            72                  6               22
My agency understands OMB’s
approach to developing the FEA                 67                 13               20
My agency supports OMB’s
approach to developing the FEA                 63                 10               27
My agency’s EA will change as a
result of the FEA                              61                  8               31
Source: GAO.




Page 49                                              GAO-04-40 Enterprise Architecture
Prevalence of Long-standing   Despite OMB’s architecture-related activities, agencies continue to face the
Enterprise Architecture       same management challenges that we identified 2 years ago—that is,
                              obtaining top management support and commitment, overcoming
Management Challenges Is      parochialism, and having the requisite resources (financial and human
Growing                       capital) to get the job done. Moreover, the percentage of agencies
                              identifying these management challenges has grown. For example, getting
                              top management to understand the purpose, content, and value of
                              architectures was seen as a challenge by about 50 percent of agencies—up
                              from 39 percent in our last survey. As our framework recognizes, obtaining
                              executive understanding and support is essential to having an effective
                              enterprise architecture program. Without it, agencies will have increased
                              difficulty in addressing other challenges, such as overcoming parochialism
                              among organizational components and obtaining requisite resources
                              (funding and human capital). Our survey results bear this out—at the same
                              time that the percentage of agencies identifying top management
                              understanding and support as a challenge rose, the percentage of agencies
                              identifying these other challenges almost all rose. For example, the
                              percentage that identified parochialism as a challenge grew from 39 to 47
                              percent. Also, while 50 percent of agencies continued to report funding as a
                              significant challenge, the percentage of agencies that reported obtaining
                              skilled staff as a challenge grew from 32 to 49 percent. (See table 10.)



                              Table 10: Percentage of Agencies Identifying Particular Enterprise Architecture
                              Management Challenges

                                                                           Percentage of agencies that frequently
                                                                                identified management challenge
                              Management challenge                               2001 survey          2003 survey
                              Fostering top management understanding                       39                   50
                              Overcoming parochialism                                      39                   47
                              Ensuring adequate funding                                    50                   50
                              Obtaining skilled staff                                      32                   49
                              Source: GAO.


                              Agencies also reported mixed levels of satisfaction with OMB’s efforts to
                              address these management challenges. Specifically, just over half of
                              agencies were satisfied with OMB’s efforts to foster top management
                              understanding and to overcome agency component organization
                              parochialism (58 and 53 percent, respectively). Moreover, fewer than half




                              Page 50                                            GAO-04-40 Enterprise Architecture
                           of agencies (40 percent) were satisfied with OMB’s actions to address their
                           enterprise architecture funding and staffing challenges. (See table 11.)



                           Table 11: Percentage of Agencies Satisfied with OMB’s Efforts to Address Various
                           Management Challenges

                                                                                                        Percentage of
                                                                Percentage of        Percentage of    agencies neither
                                                                    agencies              agencies       satisfied nor
                           Management challenge                      satisfied         dissatisfied       dissatisfied
                           Fostering top management
                           understanding                                    58a                14a                 27a
                           Overcoming parochialism                              53              10                  37
                           Ensuring adequate funding                            40              26                  34
                           Obtaining skilled staff                              40              15                  45
                           Source: GAO.
                           a
                           Numbers do not add to 100 percent due to rounding.




OMB Has Yet to Implement   Our February 2002 report concluded that OMB needed to advance the level
Our Recommendations for    of enterprise architecture management maturity by exercising improved
                           oversight and identifying governmentwide solutions to common enterprise
Addressing Architecture    architecture management challenges facing agencies. Specifically, we
Management Challenges      recommended that the OMB Director, in collaboration with the federal CIO
and Improving Oversight    Council, use the maturity framework and agency baseline information
                           provided in our February 2002 report as the basis for helping agencies to
                           advance the state of their respective enterprise architecture development,
                           implementation, and maintenance efforts, and for measuring agency
                           progress. We further recommended that in doing so, the director require
                           each of the 116 agencies surveyed in our 2002 report to (1) submit to OMB
                           an annual update of the agency’s satisfaction of each of the core elements
                           contained in the maturity framework and (2) have this update verified by
                           the agency’s inspector general or comparable audit function before it is
                           submitted to OMB.

                           Additionally, we recommended in our 2002 report that the OMB Director, in
                           collaboration with the CIO Council, develop and implement a plan to
                           address the governmentwide impediments to greater agency use of
                           enterprise architectures. We recommended that, at a minimum, this plan
                           should include the two primary challenges identified in the 2002 report—
                           that is, agency executive management understanding of enterprise



                           Page 51                                                    GAO-04-40 Enterprise Architecture
                      architectures and the availability of enterprise architecture human capital
                      expertise. Finally, we recommended that the director report annually to the
                      Senate Committee on Governmental Affairs and the House Committee on
                      Government Reform on the results of OMB’s annual update of the state and
                      progress of federal agencies’ enterprise architecture efforts.

                      OMB officials generally agreed with the findings and conclusions of our
                      2002 report and stated that they would consider using our framework.
                      However, after 18 months, office officials told us that they are still
                      considering using our framework as a basis for evaluating agencies’
                      progress in developing and implementing their architectures, but had not
                      committed to doing so because they were still reviewing the options for
                      evaluating agencies’ progress in developing and implementing their
                      enterprise architectures using our framework and other potential tools.
                      Additionally, the office did not report any plans to address governmentwide
                      impediments to greater agency use of architectures. Further, OMB reported
                      that it has and plans to continue to provide information to the Congress on
                      the state of agency enterprise architecture efforts and on progress in
                      implementing the FEA.



Conclusions           Overall, the federal government’s state of enterprise architecture
                      management remains less than satisfactory, with little progress being made
                      over the last 2 years. As a result, most federal agencies continue to run the
                      serious risk of investing in IT solutions that will not overcome, but rather
                      will perpetuate, long-standing incompatibilities and duplication within
                      agency operational and systems environments. OMB has taken steps to
                      promote the development and use of enterprise architectures; however,
                      these steps have yet to produce desired results. It is thus important for
                      OMB to take additional actions, such as those that we have previously
                      recommended and OMB has yet to implement. To do less risks continued
                      exposure of agency IT investments to the unnecessary risk of being
                      duplicative, incompatible, and needlessly costly.



Recommendations for   We reiterate the recommendations we made in our February 2002 report on
                      the governmentwide status of enterprise architecture use, with the
Executive Action      modification that OMB use Version 1.1 of our framework and the baseline
                      data from our 2003 survey included in this report, rather than Version 1.0 of
                      our framework and our 2001 survey data.




                      Page 52                                        GAO-04-40 Enterprise Architecture
                  Additionally, we recommend that the OMB Director, in developing and
                  implementing the plan we previously recommended to address
                  governmentwide impediments to greater agency use of enterprise
                  architectures, ensure that the plan provides for identifying agencies that
                  have effectively overcome enterprise architecture management challenges
                  and sharing those and other lessons learned and best practices. Also, we
                  recommend that the director, in annually reporting to the Senate
                  Committee on Governmental Affairs and the House Committee on
                  Government Reform, as we previously recommended, include in the report
                  what steps have been taken to implement our recommendations, including
                  reasons for not adopting our maturity framework.



Agency Comments   In oral comments on a draft of this report, officials from OMB’s Office of
                  Information and Regulatory Affairs and the Federal Enterprise
                  Architecture Program Management Office stated that they generally agreed
                  with our findings and recommendations. They also stated that they agreed
                  with the need for agency assessments using Version 1.1 of our framework,
                  and that these assessments should be independently verified. They added
                  that fully implementing our recommendations would require sustained
                  management attention.


                  As agreed with your offices, unless you publicly announce its contents
                  earlier, we plan no further distribution of this report until 30 days after the
                  date of this letter. At that time, we will send copies to interested
                  congressional committees, the OMB Director, and agencies that
                  participated in our survey. We will also provide copies to others on request.
                  In addition, the report will be available at no charge on the GAO Web site at
                  http://www.gao.gov. If you have any questions concerning this information,
                  please contact me at (202) 512-3439 or by e-mail at hiter@gao.gov. Key
                  contributors to this report are listed in appendix IX.




                  Randolph C. Hite
                  Director, Information Technology Architecture
                    and Systems Issues



                  Page 53                                          GAO-04-40 Enterprise Architecture
Appendix I

Agencies Indicated Architecture Benefits and                                                              Appendx
                                                                                                                ies




Experiences with the Use of Tools,
Frameworks, Methodologies, and Contractors                                                                 Append
                                                                                                                x
                                                                                                                Ii




                       In response to our 2003 survey, agencies reported additional information
                       related to the implementation of their enterprise architectures. This
                       information includes architecture benefits and architecture tool,
                       framework, methodology, and contractor experiences.



Agencies Reported      Office of Management and Budget (OMB) policy, Chief Information Officer
                       (CIO) Council guidance, and our research and reviews of agencies’
Various Architecture   management of information technology (IT) have identified multiple
Benefits               benefits of effectively using enterprise architectures, including avoiding
                       duplication between IT systems, promoting integration of systems,
                       reducing system-related costs, and optimizing agency mission
                       performance. Agency responses to our 2001 survey affirmed these and
                       offered additional benefits, such as lower system-related costs and benefits
                       related to enhanced productivity and improved efficiency.

                       Agencies responding to our 2003 survey reported similar benefits. For
                       example, benefits related to improved systems interoperability were cited
                       by 53 percent of agencies, while improved organization and change
                       management were cited by 51 percent of agencies. Also, enhanced
                       productivity and lower system-related costs were cited by 41 percent and
                       39 percent, respectively. Table 12 shows the benefits that were most
                       frequently identified by survey respondents. One new benefit cited by 56
                       percent of agencies was the use of “enterprise licenses.” Such licenses take
                       advantage of the economies of scale associated with purchasing a large
                       number of commercial product licenses.



                       Table 12: Frequently Identified Enterprise Architecture Benefits by Federal Agencies

                                                                       Percentage of agencies that
                                                                           identified benefits
                       Benefits                                             2001 survey        2003 survey
                       Lower system-related costs                                    53                 39
                       Enhanced productivity                                         49                 41
                       Improved organization and change
                       management                                                    41                 51
                       Improved systems interoperability                             24                 53
                       Enterprise licenses                                           —                  56
                       Source: GAO.




                       Page 54                                            GAO-04-40 Enterprise Architecture
                       Appendix I
                       Agencies Indicated Architecture Benefits and
                       Experiences with the Use of Tools,
                       Frameworks, Methodologies, and
                       Contractors




Agencies Reported      An automated enterprise architecture tool serves as the repository of
                       architecture artifacts, which are work products that are produced and used
Using a Variety of     to capture and convey architectural information. An agency’s choice of tool
Enterprise             should be based on a number of considerations, including agency needs
                       and the size and complexity of the architecture.1
Architecture Tools
with Varying Degrees   Agencies reported using various automated tools to develop and maintain
of Satisfaction        their enterprise architectures. The most commonly identified architecture
                       products were Microsoft Office (72 agencies), System Architect (31
                       agencies), the Enterprise Architecture Management System (18 agencies),
                       Rational Rose (17 agencies), Metis (11 agencies), and Framework (7
                       agencies). Forty-one agencies reported using “other” architecture products.
                       Figure 17 indicates the proportion of agencies that indicated using each
                       architecture tool.



                       Figure 17: Enterprise Architecture Tools Used by Agencies
                                                                   Framework
                                                                   Metis



                                                                   Rational Rose



                                                                  EA Management System


                                                                   System Architect




                                                                   Other
                                                                   Microsoft Office Suite
                       Source: GAO.




                       1
                        For a listing of criteria for selecting automated enterprise architecture tools, see U.S.
                       General Accounting Office, Information Technology: A Framework for Assessing and
                       Improving Enterprise Architecture Management (Version 1.1), GAO-03-584G
                       (Washington, D.C.: April 2003), table 1, p. 14.




                       Page 55                                                     GAO-04-40 Enterprise Architecture
Appendix I
Agencies Indicated Architecture Benefits and
Experiences with the Use of Tools,
Frameworks, Methodologies, and
Contractors




Agencies reported different levels of satisfaction with the enterprise
architecture tools they are using. As shown in table 13, about 68 percent of
agencies using System Architect were satisfied,2 about 73 percent of
agencies using Metis were satisfied, and about 61 percent of agencies using
Microsoft’s Office Suite were satisfied. In contrast, about 17 percent of
agencies using the EA Management System were satisfied (about 67
percent of agencies using EA Management System responded that it was
too early to comment on satisfaction levels), and about 41 and 43 percent
of agencies using Rational Rose and Framework, respectively, were
satisfied. With respect to agencies’ dissatisfaction with their tools, about 3
percent of agencies using System Architect were dissatisfied, and about 13
percent of agencies using Microsoft’s Office Suite were dissatisfied. Also,
about 11 percent of agencies using the EA Management System were
dissatisfied, and about 12 and about 29 percent of agencies using Rational
Rose and Framework, respectively, were dissatisfied with those tools. No
agencies using Metis were dissatisfied.




2
 Agencies reporting either very satisfied or satisfied (see the columns under the “agency
response” heading in table 13).




Page 56                                                  GAO-04-40 Enterprise Architecture
                     Appendix I
                     Agencies Indicated Architecture Benefits and
                     Experiences with the Use of Tools,
                     Frameworks, Methodologies, and
                     Contractors




                     Table 13: Federal Agencies’ Satisfaction with Automated Enterprise Architecture
                     Tools

                                                                     Agency response (percent)
                     Name of             Number of              Very       Neither    Somewhat
                     automated            agencies      satisfied or satisfied nor       or very     Too early
                     tool                using tool       satisfied dissatisfied     dissatisfied       to say
                     EA
                     Management
                     System                       18                17           6            11           67
                     Framework
                     (Ptech, Inc.)                 7                43          29            29           —
                     Metis
                     (Computas
                     NA, Inc.)                    11                73          —             —            27
                     Office Suite
                     (Microsoft,
                     Inc.)                        72                61          24            13            1
                     Rational Rose
                     (Rational/IBM)               17                41          18            12           29
                     System
                     Architect
                     (Popkin)                     31                68           3               3         26
                     Other                        41                66          27               2          5
                     Source: GAO.




Agencies Reported    An enterprise architecture framework (or model) provides a formal
                     structure for representing the architecture and serves as the basis for the
Using a Variety of   nature and content of the specific products that the agency plans to
Enterprise           develop, use, and maintain. As such, a framework helps to ensure the
                     consistent representation of information from across the organization and
Architecture         supports orderly capture and maintenance of architecture content.
Frameworks with
Varying Levels of
Satisfaction




                     Page 57                                                 GAO-04-40 Enterprise Architecture
Appendix I
Agencies Indicated Architecture Benefits and
Experiences with the Use of Tools,
Frameworks, Methodologies, and
Contractors




Agencies reported using various frameworks. The most frequently cited
frameworks in our survey responses were the Federal Enterprise
Architecture Framework (FEAF) (61 agencies), the Federal Enterprise
Architecture Program Management Office (FEAPMO) Reference Models
(56 agencies), and the Zachman Framework (36 agencies).3 Figure 18
indicates the proportion of agencies that indicated using each framework.
Other frameworks used included the Treasury Enterprise Architecture
Framework (TEAF); the National Institute of Standards and Technology
Framework (NIST framework); the Command, Control, Communications,
Computers, Intelligence, Surveillance, and Reconnaissance (C4ISR)
Framework; and the Department of Defense Architecture Framework
(DoDAF).



Figure 18: Enterprise Architecture Frameworks Used by Agencies
                                               TEAF
                                               Other


                                               DoDAF

                                               NIST Framework


                                               C4ISR




                                               Zachman Framework




                                               FEA Reference Models

                                               FEAF
Source: GAO.




3
 The total exceeds the 96 survey responses because some agencies reported using more
than one framework.




Page 58                                                   GAO-04-40 Enterprise Architecture
                                          Appendix I
                                          Agencies Indicated Architecture Benefits and
                                          Experiences with the Use of Tools,
                                          Frameworks, Methodologies, and
                                          Contractors




                                          Agencies reported different levels of satisfaction with the enterprise
                                          architecture frameworks they are using, as shown in table 14. The levels of
                                          satisfaction4 ranged from 81 percent, reported by agencies using the
                                          Zachman Framework, to 45 percent, reported by agencies using the NIST
                                          framework. As table 14 shows, few agencies reported being dissatisfied out
                                          of 209 responses.5



Table 14: Federal Agencies Enterprise Architecture Framework Satisfaction Levels

                                                                            Agency response (percent)
                                      Number of
                                  agencies using        Very satisfied     Neither satisfied     Somewhat or very            Too early
Name of framework                     framework           or satisfied      nor dissatisfied          dissatisfied              to say
Command, Control,
Communications, Computers,
Intelligence, Surveillance, and
Reconnaissance Framework                      15                    67                    27                       7                  —
Department of Defense
Architecture Framework                        11                    64                    18                      —                   18
Federal Enterprise
Architecture Framework                        61                    61                    16                      10                  13
Federal Enterprise
Architecture Reference Models                 56                    48                    18                       7                  27
National Institute of Standards
and Technology Framework                      11                    45                    27                       9                  18
Treasury Enterprise
Architecture Framework                         9                    78                    22                      —                   —
Zachman Framework                             36                    81                     6                       3                  11
Other                                         10                    80                    —                       —                   —
Source: GAO.




                                          4
                                           The percentage of agencies reporting either very satisfied or satisfied (see the columns
                                          under the “agency response” heading in table 14).
                                          5
                                           The number of responses regarding frameworks is larger than the number of agencies
                                          surveyed because some agencies reported using more than one framework.




                                          Page 59                                                  GAO-04-40 Enterprise Architecture
                         Appendix I
                         Agencies Indicated Architecture Benefits and
                         Experiences with the Use of Tools,
                         Frameworks, Methodologies, and
                         Contractors




Less Than Half of        An enterprise architecture methodology provides a common set of
                         procedures for developing architecture products and, if implemented
Federal Agencies Had     properly, helps to ensure consistency in the procedures used across the
Selected an Enterprise   organization for developing and maintaining the enterprise architecture. An
                         organization’s methodology or methodologies should govern how the
Architecture             architecture products will be developed, maintained, and validated.
Methodology              Methodologies need to be documented, understood, and consistently
                         applied. They should prescribe the standards, steps, tools, techniques, and
                         measures to be used to provide reasonable assurance that expected
                         product quality is attained.

                         Less than half (41 percent) of the federal agencies that we surveyed had
                         selected a methodology. About 55 percent (23 of 42) of the methodologies
                         that agencies reported using were Spewak’s enterprise architecture
                         planning methodology6 or a variation. Four of the remaining 19
                         methodologies were developed by META Group, and 2 were developed by
                         Gartner, Inc. Two agencies cited James Martin’s Information Strategy
                         Planning, and 2 agencies cited the Department of Commerce’s Enterprise
                         Architecture Methodology. The remaining 21 percent (9 of 42) were unique
                         methodologies.



Most Agencies            Agencies reported heavy use of contractor support for developing their
                         respective architectures. Most agencies (72 of 92 agencies that responded
Reported Using           to this question—78 percent) stated that their architectures were
Contractor Support for   developed in-house with contractor support. Ten agencies (11 percent)
                         reported that contractors developed their enterprise architectures. Ten
Developing Enterprise    agencies (11 percent) reported that they developed their enterprise
Architectures            architectures in-house without any contractor support. Table 15 describes
                         the level of contractor use, by agency type.




                         6
                          Steven H. Spewak, Enterprise Architecture Planning: Developing a Blueprint for Data,
                         Applications, and Technology, John Wiley and Sons (September 1993).




                         Page 60                                               GAO-04-40 Enterprise Architecture
Appendix I
Agencies Indicated Architecture Benefits and
Experiences with the Use of Tools,
Frameworks, Methodologies, and
Contractors




Table 15: Federal Agencies’ Use of Contractors in Developing Their Enterprise
Architectures

                                                   Developed
                                                    in-house,
                               Developed by        contractor   Developed in-house,
Agency type                    contractor(s)       supported            exclusively
Department                                     3          12                        1
Component agencies                             7          41                        5
Independent agencies                       —              19                        4
Total                                      10             72                       10
Source: GAO.




Page 61                                              GAO-04-40 Enterprise Architecture
Appendix II

Cost Data Related to Implementing Enterprise
Architectures Varied, with Personnel
Accounting for Most Costs                                                                               Appendx
                                                                                                              Ii




                        Agency-reported data revealed a wide variance in the cost of developing,
                        completing, and maintaining enterprise architectures. Agencies generally
                        reported that their architecture development costs could be allocated to
                        several categories, with the majority of costs attributable to agency and
                        contractor personnel.



Departments’            As we have previously reported, the scope and nature of the enterprise and
                        the extent of enterprise transformation and modernization envisioned will
Investment in           dictate the depth and detail of the architecture to be developed and
Architecture Varied     maintained. Restated, the architecture should be tailored to the individual
                        enterprise and that enterprise’s intended use of the architecture.
More Widely than        Accordingly, the level of resources that an agency invests in its architecture
Component and           is likely to vary. Agency responses to our survey showed this to be the case.
Independent Agencies’
                        Agencies that reported cost data reported $599 million being spent to date
                        on the development of architectures, with individual agency development
                        costs to date ranging from $5,000 to $248 million. Departments’
                        architecture development costs varied more than component and
                        independent agencies’ costs, while component agencies reported spending
                        the most to date, with independent agencies spending the least. Agencies
                        reported estimated costs to complete architecture development ranging
                        from $3,000 to $319 million, and annual estimated maintenance costs
                        ranging from $1,000 to $36 million. Figures 19 through 27 depict the
                        variability of cost data reported by departments, component agencies, and
                        independent agencies.




                        Page 62                                         GAO-04-40 Enterprise Architecture
Appendix II
Cost Data Related to Implementing
Enterprise Architectures Varied, with
Personnel Accounting for Most Costs




Figure 19: Development Costs to Date for Departments
Departments
25

20

15

10

 5         3                              3                              3
                            1                                                                          0               1               2                           2
                                                          0                              0                                                           0
 0




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     Thousands of dollars
Source: GAO.




Figure 20: Development Costs to Date for Component Agencies
Agencies
       23
25

20

15
                         9
10
                                          5                                                                                                                        6
 5
                                                          1              1               0             1               0               0             0
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                                                                                                                                    9,




     Thousands of dollars
Source: GAO.




Page 63                                                                                                    GAO-04-40 Enterprise Architecture
Appendix II
Cost Data Related to Implementing
Enterprise Architectures Varied, with
Personnel Accounting for Most Costs




Figure 21: Development Costs to Date for Independent Agencies
Agencies
25

20

15
          11
10

 5                          3                                                   2
                                            1                 1                                  0             0               1                0             0             0
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      Thousands of dollars
Source: GAO.




Figure 22: Estimated Completion Costs for Departments
Departments
25

20

15

10

 5                                                                                                                                                                          3
          1               2                 2                 2                                                                1                              1
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                                                                                                                              8,



                                                                                                                                             9,




     Thousands of dollars
Source: GAO.




Page 64                                                                                                            GAO-04-40 Enterprise Architecture
Appendix II
Cost Data Related to Implementing
Enterprise Architectures Varied, with
Personnel Accounting for Most Costs




Figure 23: Estimated Completion Costs for Component Agencies
Agencies
25

20
          15
15

10
                         6
 5                                                                      3                                                                                          3
                                           2             1                               1             1
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 0




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      Thousands of dollars
Source: GAO.




Figure 24: Estimated Completion Costs for Independent Agencies
Agencies
25

20

15        12

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 5
                                        1                 1                              1                             1                                         1
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 0



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                                                                                                                      8,



                                                                                                                                    9,




      Thousands of dollars
Source: GAO.




Page 65                                                                                                    GAO-04-40 Enterprise Architecture
Appendix II
Cost Data Related to Implementing
Enterprise Architectures Varied, with
Personnel Accounting for Most Costs




Figure 25: Estimated Annual Maintenance Costs for Departments
Departments
25

20

15

10
          5
 5                                                                        3
                          1                                                                2                                                           1             2
                                          0                 0                                            0              0                0
 0




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                                                                                       6,



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                                                                                                                                     9,
      Thousands of dollars
Source: GAO.




Figure 26: Estimated Annual Maintenance Costs for Component Agencies
Agencies
          25
25

20

15

10

 5                        4                 3
                                                                                           1             1                                                           2
                                                            0             0                                             0                0             0
 0



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                                                                                       6,



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                                                                                                                        8,



                                                                                                                                     9,




      Thousands of dollars
Source: GAO.




Page 66                                                                                                      GAO-04-40 Enterprise Architecture
                        Appendix II
                        Cost Data Related to Implementing
                        Enterprise Architectures Varied, with
                        Personnel Accounting for Most Costs




                        Figure 27: Estimated Annual Maintenance Costs for Independent Agencies
                        Agencies
                        25

                        20        16
                        15

                        10

                         5                          3
                                                                                                1                                                                                      1
                                                                  0              0                               0             0              0                0             0
                         0




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                                  9




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                                                                                                5,



                                                                                                             6,



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                                                                                                                                              8,



                                                                                                                                                           9,
                             Thousands of dollars
                        Source: GAO.




Agency and Contractor   Of the $599 million reported in architecture development costs, agencies
                        allocated $511 million to the following seven cost categories that we
Personnel Accounted     identified in our questionnaire: agency personnel, contractor personnel,
for the Majority of     tools, methodologies, independent validation and verification, training, and
                        other.1 For those agencies that reported and allocated costs, the majority of
Architecture            these costs were for agency and contractor personnel—$116.7 million (23
Development Costs       percent) were attributed to agency personnel and $188.9 million (37
                        percent) were attributed to contractor personnel. About $193.3 million (38
                        percent) were attributed to “other” costs,2 $7.1 million (1 percent) to
                        architecture tools, and $3.9 million (eight-tenths of 1 percent) to
                        independent validation and verification contract personnel. Further, $1.0
                        million (two-tenths of 1 percent) of costs were attributed to methodologies
                        and another $1.0 million (two-tenths of 1 percent) to training. Figure 28
                        shows the architecture development costs by category.




                        1
                         The “other” cost category is intended to include costs that cannot be allocated to the
                        categories we specified.
                        2
                         The Department of the Army allocated its $247.8 million architecture development costs to
                        two categories: agency personnel ($59.5 million) and other ($188.3 million). The $188.3
                        million that the Army categorized as “other” accounts for about 97 percent of the total
                        amount of costs categorized as “other.”




                        Page 67                                                                                                    GAO-04-40 Enterprise Architecture
Appendix II
Cost Data Related to Implementing
Enterprise Architectures Varied, with
Personnel Accounting for Most Costs




Figure 28: Enterprise Architecture Development Costs by Category—All
Respondents

                                            Methodologies 0.2%
                                            Training 0.2%
                                            Independent validation and verification 0.8%
                                            Tools 1%




                            23%             Agency personnel
               38%



                      37%                   Contractor personnel




                                            Other
Source: GAO.



Table 16 shows enterprise architecture development, completion, and
maintenance costs for each agency that provided cost data.3




3
 Some agencies did not report any architecture cost data. For example, the Department of
Justice reported that it does not maintain records on departmentwide spending for
enterprise architecture.




Page 68                                                GAO-04-40 Enterprise Architecture
                                             Appendix II
                                             Cost Data Related to Implementing
                                             Enterprise Architectures Varied, with
                                             Personnel Accounting for Most Costs




Table 16: Cost Data Reported by Agencies

                                                                                        Reported costs, by category
                                                                                                                             Annual
                                                                                                      Estimate to       maintenance
Agency                                                                 Development to date              complete            estimate
Department of Agriculture                                                             $380,000         $2,641,900                  —
Agricultural Marketing Service                                                              —                  —                   —
Agricultural Research Service                                                           38,200                 —                   —
Animal and Plant Health Inspection Service                                             200,000                 —                   —
Cooperative State Research, Education, and Extension Service                            78,960                 —                   —
Food and Nutrition Service                                                              31,200                 —                   —
Food Safety and Inspection Service                                                     300,000           600,000             $100,000
Foreign Agricultural Service                                                            30,000           330,000               10,000
Forest Service                                                                        1,445,000         5,830,000             590,000
Risk Management Agency                                                                      —                  —                   —
Service Center Modernization Initiative                                                     —                  —                   —
Department of Commerce                                                                 450,000           455,000              340,000
Bureau of the Census                                                                  1,297,744                —              418,467
Economic Development Administration                                                     25,600             76,500              64,500
International Trade Administration                                                      70,000           430,000                   —
National Oceanic and Atmospheric Administration                                      16,100,000         4,500,000           1,550,000
U.S. Patent and Trademark Office                                                      2,000,000         2,200,400           2,350,000
Department of Defense—Business Enterprise Architecture                               73,534,000                —           29,700,000
Department of Defense—Global Information Grid Architecture                           14,480,000                —            4,750,000
Ballistic Missile Defense Organization                                                 583,000           728,000              405,000
Defense Advanced Research Projects Agency                                                   —                  —                   —
Defense Commissary Agency                                                             3,229,832                —            1,747,264
Defense Contract Audit Agency                                                          498,020           205,840              459,120
Defense Contract Management Agency                                                     119,000                 —               42,500
Defense Information Systems Agency                                                     290,500          1,043,500             383,000
Defense Intelligence Agency                                                           2,160,000                —              670,000
Defense Logistics Agency                                                              4,274,055         1,940,256           1,567,622
Defense Security Cooperation Agency                                                     30,000             70,000              20,000
Defense Security Service                                                                    —                  —                   —
Defense Threat Reduction Agency                                                       1,616,000         6,448,000           1,680,000
Department of the Air Force                                                          40,000,000       300,000,000          15,000,000
Department of the Army                                                          247,822,000           318,658,000          35,569,000
Department of the Navy                                                               19,619,000                —            5,000,000



                                             Page 69                                                 GAO-04-40 Enterprise Architecture
                                                 Appendix II
                                                 Cost Data Related to Implementing
                                                 Enterprise Architectures Varied, with
                                                 Personnel Accounting for Most Costs




(Continued From Previous Page)
                                                                                            Reported costs, by category
                                                                                                                                 Annual
                                                                                                          Estimate to       maintenance
Agency                                                                     Development to date              complete            estimate
National Imagery and Mapping Agency                                                             —                  —                   —
Department of Education                                                                   8,580,000        27,865,000           4,710,000
Department of Energy                                                                      4,190,000         9,000,000           5,000,000
Department of Health and Human Services                                                    220,000          7,850,000           4,850,000
Administration for Children and Families                                                  1,620,000          440,000              290,000
Agency for Healthcare Research and Quality                                                  51,000                 —                   —
Centers for Disease Control and Prevention                                                1,157,000         2,628,000             813,000
Centers for Medicare and Medicaid Services                                                6,044,350                —                   —
Food and Drug Administration                                                              1,408,000         4,353,000             403,000
Health Resources and Services Administration                                               125,000                 —                   —
Indian Health Service                                                                      121,334                 —                   —
Program Support Center                                                                          —                  —                   —
Department of Homeland Security                                                           2,250,000        12,475,000             626,750
Department of Housing and Urban Development                                               7,100,000         3,900,000           5,800,000
Department of the Interior                                                                2,800,000        17,300,000           9,000,000
Department of Justice                                                                           —                  —                   —
Bureau of Alcohol, Tobacco, Firearms and Explosives                                       2,173,000         1,058,000           2,429,123
Drug Enforcement Administration                                                            267,000                 —                   —
Federal Bureau of Investigation                                                                 —           1,445,000             520,000
Federal Bureau of Prisons                                                                  280,020                 —                9,600
U.S. Marshals Service                                                                           —                  —                   —
Department of Labor                                                                       4,800,000         1,390,000             954,000
Department of State                                                                       4,635,068         3,871,720           1,907,110
Department of Transportation                                                              2,645,000         1,930,000             780,000
Federal Aviation Administration                                                          28,053,000        13,480,000           2,890,000
Federal Highway Administration                                                              37,500             37,500                  —
Federal Motor Carrier Safety Administration                                               2,427,275          478,860              240,000
Federal Railroad Administration                                                            178,500           635,000              123,500
Federal Transit Administration                                                             314,000              7,250              30,720
National Highway Traffic Safety Administration                                             373,554           161,000              340,000
Department of the Treasury                                                                1,296,500         2,700,000             300,000
Bureau of Engraving and Printing                                                          1,282,500          313,500              313,500
Bureau of the Public Debt                                                                 1,238,479         1,505,605             470,500
Comptroller of the Currency                                                                245,000           190,000              270,800
Financial Management Service                                                              2,010,000         3,032,000             420,000



                                                 Page 70                                                 GAO-04-40 Enterprise Architecture
                                             Appendix II
                                             Cost Data Related to Implementing
                                             Enterprise Architectures Varied, with
                                             Personnel Accounting for Most Costs




(Continued From Previous Page)
                                                                                          Reported costs, by category
                                                                                                                               Annual
                                                                                                        Estimate to       maintenance
Agency                                                                   Development to date              complete            estimate
Internal Revenue Service                                                             38,800,000           4,190,000           6,030,000
Office of Thrift Supervision                                                                   —                 —                   —
U.S. Mint                                                                              1,042,000          1,340,000             540,000
Department of Veterans Affairs                                                         8,717,400                 —           14,000,000
Independent agencies:
Agency for International Development                                                   7,700,000         12,900,000          13,900,000
Central Intelligence Agency                                                            1,500,000                 —            1,770,000
Corporation for National and Community Services                                           15,500              7,500               3,000
Environmental Protection Agency                                                        4,770,000          7,450,000           4,875,000
Equal Employment Opportunity Commission                                                  370,000           121,000               58,000
Executive Office of the President                                                      1,155,000           520,000              750,000
Export-Import Bank                                                                       500,000           390,000              125,000
Federal Deposit Insurance Corporation                                                    591,000                 —                   —
Federal Energy Regulatory Commission                                                           —           204,000               82,000
Federal Reserve System                                                                         —                 —              350,000
Federal Retirement Thrift Investment Board                                                     —                 —                   —
General Services Administration                                                        4,333,000          2,891,000              55,000
National Aeronautics and Space Administration                                            650,000           350,000              200,000
National Credit Union Administration                                                        5,000                —                1,000
National Labor Relations Board                                                           631,366           157,842              134,152
Nuclear Regulatory Commission                                                          3,627,000          5,368,000             966,000
Office of Personnel Management                                                                 —                 —            1,000,000
Peace Corps                                                                              755,000           969,000              463,000
Railroad Retirement Board                                                                434,018              3,000             379,277
Securities and Exchange Commission                                                       900,000          3,000,000           1,450,000
Small Business Administration                                                          1,330,000           583,000              222,000
Smithsonian Institution                                                                  206,000           286,000               78,000
Social Security Administration                                                         2,365,000           350,000              880,000
U.S. Postal Service                                                                            —                 —                   —
Total                                                                             $599,022,475        $805,284,173        $194,219,505
Source: GAO.

                                             Note: Dashes indicate that no cost data were provided.




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Objectives, Scope, and Methodology                                                                       Appendx
                                                                                                               iI




               Our objectives were to determine (1) what progress federal agencies have
               made in effectively developing, implementing, and maintaining their
               enterprise architectures and (2) the actions of the Office of Management
               and Budget (OMB) to advance the state of enterprise architecture
               development and use across the federal government.

               To address our objectives, we obtained and reviewed relevant guidance on
               enterprise architectures, such as OMB Circular A-1301 and guidance
               published by the federal Chief Information Officers (CIO) Council,
               including the Federal Enterprise Architecture Framework Version 1.12
               and the Practical Guide.3 We also researched our past reports and
               guidance on the management and use of enterprise architectures, including
               the results of our 2001 governmentwide enterprise architecture survey4 and
               our enterprise architecture management maturity framework.5

               Next, we used the CIO Council’s Practical Guide and our enterprise
               architecture management maturity framework to develop two data
               collection instruments—one for federal departments and one for agencies
               that are either components within a department or are independent (see
               app. VIII). We pretested our survey instruments at one federal department
               and one component agency.




               1
                Office of Management and Budget, Management of Federal Information Resources,
               Circular A-130 (Nov. 30, 2000).
               2
                Chief Information Officers Council, Federal Enterprise Architecture Framework, Version
               1.1 (September 1999).
               3
                Chief Information Officers Council, A Practical Guide to Federal Enterprise Architecture,
               Version 1.0 (February 2001).
               4
                U.S. General Accounting Office, Information Technology: Enterprise Architecture Use
               across the Federal Government Can Be Improved, GAO-02-6 (Washington, D.C.: Feb. 19,
               2002).
               5
                U.S. General Accounting Office, Information Technology: A Framework for Assessing and
               Improving Enterprise Architecture Management (Version 1.1), GAO-03-584G
               (Washington, D.C.: April 2003).




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To ensure consistency and comparability with our 2001 governmentwide
enterprise architecture survey, we based our survey population on the
same 116 agencies, with appropriate additions and deletions. These
agencies consisted of all cabinet-level departments, major component
agencies within departments,6 and other independent agencies. We
modified our 2001 survey population to reflect the federal government’s
reorganization of March 1, 2003, in which the Department of Homeland
Security (DHS) and its directorates (i.e., component agencies) became
operational, resulting in the addition of 5 agencies. At the same time, the
establishment of DHS resulted in 4 agencies that were included in our 2001
survey being eliminated from our survey population because they were
absorbed into DHS directorates. We also eliminated the U.S. Marine Corps
as a separate agency within our population so that the Department of the
Navy, at its request, could provide a single response for the Navy and the
Marine Corps. Table 17 lists additions to and deletions from our 2001
survey population and provides explanations for each change.




6
 We defined “component agencies” as (1) being one organizational level below their
respective cabinet-level department and (2) having a budget request of $100 million or more.




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Table 17: Summary of Differences between 2001 and 2003 Survey Populations

Agency                                                     Inclusion in survey      Explanation
DHS                                                        In 2003, but not in      Became operational on March 1, 2003
DHS, Directorate of Border and Transportation Security     2001

DHS, Directorate of Emergency Preparedness and
Response
DHS, Directorate of Science and Technology
DHS, Directorate of Information Analysis and
Infrastructure Protection
U.S. Customs Service                                       In 2001, but not in      Became part of DHS, Directorate of Border and
Immigration and Naturalization Service                     2003                     Transportation Security, effective March 1, 2003

Federal Law Enforcement Training Center
Federal Emergency Management Agency                        In 2001, but not in      Became part of DHS, Directorate of Emergency
                                                           2003                     Preparedness and Response, effective March 1,
                                                                                    2003
U.S. Marine Corps                                          In 2001, but not in      Department of the Navy provided a consolidated
                                                           2003                     response for the Navy and the U.S. Marine Corps
Source: GAO.


                                               For each of the 116 agencies, we identified the CIO or comparable official
                                               and notified them of our work and distributed the appropriate survey
                                               instrument to designated officials via e-mail. We also discussed the purpose
                                               and content of the survey instrument with agency officials when requested.
                                               After receiving our survey, officials from DHS and the Departments of the
                                               Interior and Veterans Affairs told us that their respective architectures
                                               cover their component agencies and, thus, a single response would be
                                               provided. (When departments opted to provide a departmental response
                                               inclusive of component agencies, our analysis pertains to the department
                                               as a whole. Conversely, when departments and their component agencies
                                               reported separately, our departmental analysis is exclusive of component
                                               agencies.) Additionally, officials from the Department of Agriculture’s Farm
                                               Service Agency, Natural Resources Conservation Service, and Rural
                                               Utilities Service told us they would provide a response that reflects the
                                               Service Center Modernization Initiative, which encompasses those three
                                               component agencies. We agreed with these proposed approaches. Both the
                                               Department of Defense’s Business Enterprise Architecture and
                                               Agriculture’s previously mentioned Service Center Modernization Initiative
                                               provided responses that were not solicited in our survey population, which
                                               we included in our analysis and in this report. Tables 18 and 19 show the
                                               consolidated, omitted, and additional responses that led to the difference



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                                               between our survey population of 116 agencies and the 96 respondents
                                               included in this report, including an explanation for each adjustment.



Table 18: Twenty-Two Agencies in 2003 Survey Population for Which Responses Do Not Appear

Agency                                                            Explanation
DHS, Directorate of Border and Transportation Security            Included in DHS departmentwide response
DHS, Directorate of Emergency Preparedness and Response
DHS, Directorate of Science and Technology
DHS, Directorate of Information Analysis and Protection
DHS, U.S. Coast Guard
DHS, U.S. Secret Service
Agriculture, Natural Resources Conservation Service               Included in response for Service Center Modernization Initiative,
Agriculture, Farm Service Agency                                  Department of Agriculture

Agriculture, Rural Utilities Service
Interior, Bureau of Indian Affairs                                Included in Department of the Interior departmentwide response
Interior, Bureau of Land Management
Interior, Bureau of Reclamation
Interior, Fish and Wildlife Service
Interior, Minerals Management Service
Interior, National Park Service
Interior, Office of Surface Mining Reclamation & Enforcement
Interior, U.S. Geological Survey
Veterans Affairs, Veterans Benefits Administration                Included in Department of Veterans Affairs departmentwide response
Veterans Affairs, Veterans Health Administration
Defense, Defense Legal Services Agency                            Included in Department of Defense response
National Security Agency                                          Excluded from analysis and report because response was
                                                                  designated “For Official Use Only”
Legal Services Corporation                                        Did not respond
Source: GAO.




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Table 19: Additional Survey Responses

Additional response                        Reason for addition
Service Center Modernization Initiative,   The Department of Agriculture provided one response for this initiative, which includes the
Department of Agriculture                  Natural Resources Conservation Service, the Farm Service Agency, and the Rural Utilities
                                           Service, as shown in the previous table.
Business Enterprise Architecture,          The Department of Defense provided distinct responses for its two departmentwide
Department of Defense                      enterprise architecture efforts: the Global Information Grid architecture and the Business
                                           Enterprise Architecture.
Source: GAO.


                                              The timing of the 96 responses varied, ranging from April 1 to July 9, 2003,
                                              and thus the determinations in this report regarding the state of enterprise
                                              architecture development and use and progress at specific agencies and
                                              groups of agencies are linked to particular points in time. Appendixes V, VI,
                                              and VII, which contain the results of our analysis of each agency’s response
                                              to our survey, identify the date that each agency responded. To verify the
                                              accuracy of agencies’ responses to our survey regarding enterprise
                                              architecture management policies, organizations, and responsibilities, we
                                              required agencies to submit documentation or additional information for
                                              survey questions related to certain framework criteria. Specifically, we
                                              requested agencies to submit documentation or additional information for
                                              questions 6 to 11, 18, 20 to 24, 26, and 35 to 39. Although our survey
                                              requested that agencies provide data about the status of various enterprise
                                              architecture products, we did not independently verify the data that
                                              agencies provided about the comprehensiveness or completeness of their
                                              architecture products.7 Additionally, we contacted agency officials when
                                              necessary to clarify their responses.

                                              To determine the progress of federal agencies’ enterprise architecture
                                              efforts, we analyzed agency survey responses using Version 1.0 of our
                                              maturity framework and compared them with the results of our 2001
                                              survey, which were also based on Version 1.0. We also analyzed survey
                                              responses using Version 1.1 of our maturity framework to establish a new
                                              baseline against which future progress can be measured. When an agency’s

                                              7
                                               We adjusted data that the Department of Defense provided for its Business Enterprise
                                              Architecture and the National Aeronautics and Space Administration provided for its
                                              enterprise architecture on the basis of the results of completed GAO reviews. We also
                                              adjusted data that the Department of Veterans Affairs provided for its enterprise
                                              architecture products on the basis of analysis performed in an ongoing GAO review. Agency
                                              officials agreed with these adjustments.




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                                                 response and our subsequent analysis indicated that it did not meet a core
                                                 element as defined in the framework, we assigned that agency to the next
                                                 lowest stage of framework maturity (i.e., to achieve a given stage of
                                                 maturity, an agency must meet all core elements at that stage). For
                                                 example, if an agency satisfied all Stage 2 and Stage 4 elements, but did not
                                                 satisfy one Stage 3 element, that agency is considered to be a Stage 2
                                                 agency.

                                                 When determining agency maturity levels, we did not consider whether
                                                 agency enterprise architecture plans or products included “performance”
                                                 because explicitly including enterprise performance data is a relatively new
                                                 concept, and there was a minimal amount of federal guidance related to
                                                 enterprise performance data available to agencies at the time our surveys
                                                 were distributed.

                                                 Tables 20 to 23 show the relationship between the survey questions and the
                                                 framework elements for Version 1.0 of the framework, as well as identify
                                                 where documentation was required to support answers.



Table 20: Stage 2 Evaluation Criteria for Framework Version 1.0

                                                                                                                              Related
                                                                                                                              survey
Element                                    Evaluation criteria                                                                questions
Committee or group representing the        Agency responded that a committee or group representing the enterprise is          8
enterprise is responsible for directing,   responsible for directing, overseeing, and/or approving the EA, and provided
overseeing, and/or approving the EA.       supporting documentation.
Program office responsible for EA          Agency responded that a program office responsible for EA development exists,      9
development exists.                        and provided supporting documentation.
Chief architect exists.                    Agency responded that a chief architect exists, and provided supporting            10
                                           documentation.
EA being developed using a                 Agency responded that the EA is being developed using a framework and              15 and 16
framework and automated tool.              automated tool.
EA plans call for describing the           Agency responded that EA plans call for describing the enterprise in terms of      4
enterprise in terms of business, data,     business, data, applications, or technology.
applications, or technology.
EA plans call for describing “as-is”       Agency responded that EA plans call for describing business, data, applications,   4
environment, “to-be” environment, or       or technology in the “as-is” environment or the “to-be” environment, or a
sequencing plan.                           sequencing plan.
Source: GAO.




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Table 21: Stage 3 Evaluation Criteria for Framework Version 1.0

                                                                                                                              Related
                                                                                                                              survey
Element                                  Evaluation criteria                                                                  questions
Written/approved policy exists for EA    Agency responded that a written and approved policy exists for EA development, 7
development.                             and provided supporting documentation.
EA products are under configuration      Agency responded that EA products are under configuration management, and            24
management.                              provided supporting documentation.
EA products describe or will describe    Agency responded that EA products describe or will describe the enterprise’s          4
enterprise’s business—and the data,      business, data, applications, and technology that will support it in both the “as-is”
applications, and technology that will   and “to-be” environments.
support it.
EA products describe or will describe    Agency responded that EA products describe or will describe the enterprise’s         4
“as-is” environment, “to-be”             business, data, applications, and technology in both the “as-is” and, “to-be”
environment, and sequencing plan.        environments, and a sequencing plan for moving from the “as-is” to the “to-be”
                                         environment.
EA scope is enterprise focused.          Agency responded that the EA scope is departmentwide or agencywide.                  3
Source: GAO.




Table 22: Stage 4 Evaluation Criteria for Framework Version 1.0

                                                                                                                              Related
                                                                                                                              survey
Element                                  Evaluation criteria                                                                  questions
Written/approved policy exists for       Agency responded that a written and approved policy exists for information           26
information technology investment        technology investment compliance with EA, and provided supporting
compliance with EA.                      documentation.
EA products describe the enterprise’s    Agency responded that EA products describe the enterprise’s business, data,          4
business—and the data, applications,     applications, and technology that support it in both the “as-is” and “to-be”
and technology that support it.          environments.
EA products describe “as-is”          Agency responded that EA products describe the enterprise’s business, data,             4
environment, “to-be” environment, and applications, and technology in both the “as-is” and “to-be” environments, and a
sequencing plan.                      sequencing plan for moving from the “as-is” to the “to-be” environment.
Agency chief information officer has     Agency responded that the agency chief information officer has approved the EA, 20
approved EA.                             and provided supporting documentation.
Source: GAO.




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Table 23: Stage 5 Evaluation Criteria for Framework Version 1.0

                                                                                                                      Related
                                                                                                                      survey
Element                                 Evaluation criteria                                                           questions
Written/approved policy exists for EA   Agency responded that a written and approved policy exists for EA maintenance, 7
maintenance.                            and provided supporting documentation.
Either EA steering committee,           Agency responded that an EA steering committee, investment review board, or   20
investment review board, or agency      agency head has approved the EA, and provided supporting documentation.
head has approved EA.
Metrics exist for measuring EA          Agency responded that metrics exist to measure return on EA investment or     35 and 38
benefits.                               compliance with the EA is measured and reported, and provided supporting
                                        documentation.
Source: GAO.




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                                                 Tables 24 to 27 show the relationship between the survey questions and the
                                                 framework elements for Version 1.1 of the framework.



Table 24: Stage 2 Evaluation Criteria for Framework Version 1.1

                                                                                                                              Related
                                                                                                                              survey
Element                                    Evaluation criteria                                                                questions
Adequate resources exist.                  Agency responded that it (1) plans to develop an EA, (2) is in the process of      13 and 14
                                           developing an EA, or (3) has developed an EA and that either no gap existed
                                           between requested and approved resources for fiscal years 2001, 2002, and
                                           2003, or if a gap did exist, that the gap did not result in a very adverse or
                                           somewhat adverse impact.
Committee or group representing the        Agency responded that a committee or group representing the enterprise is          8
enterprise is responsible for directing,   responsible for directing, overseeing, or approving EA, and provided supporting
overseeing, or approving EA.               documentation.
Program office responsible for EA   Agency responded that a program office responsible for EA development and                 9
development and maintenance exists. maintenance exists, and provided supporting documentation.
Chief architect exists.                    Agency responded that a chief architect exists, and provided supporting            10
                                           documentation.
EA is being developed using a              Agency responded that it is using a framework, methodology, and automated tool 15, 16, and
framework, methodology, and                to develop its EA. (Documentation provided for question 18, methodology.)      18
automated tool.
EA plans call for describing both the      Agency responded that it (1) plans to develop an EA, (2) is in the process of      1 and 4
“as-is” and the “to-be” environments of    developing an EA, or (3) has developed an EA; that EA plans call for describing
the enterprise, as well as a               the “as-is” and the “to-be” environments of the enterprise in terms of business,
sequencing plan for transitioning from     information/data, application/service, or technology; and that EA plans call for
the “as-is” to the “to-be.”                developing a sequencing plan for transitioning from the “as-is” to the “to-be”
                                           environments.
EA plans call for describing both the      Agency responded that it (1) plans to develop an EA, (2) is in the process of      1 and 4
“as-is” and the “to-be” environments in    developing an EA, or (3) has developed an EA, and that EA plans call for
terms of business, performance,            describing both the “as-is” and the “to-be” environments in terms of business,
information/data, application/service,     information/data, application/service, and technology.
and technology.
EA plans call for business,                Agency responded that it (1) plans to develop an EA, (2) is in the process of      1 and 4
performance, information/data,             developing an EA, or (3) has developed an EA, and that EA plans call for
application/service, and technology        business, information/data, application/service, and technology descriptions to
descriptions to address security.          address security in both the “as-is” and “to-be” environments.
EA plans call for developing metrics  Agency responded that EA plans call for developing metrics for measuring EA             34
for measuring EA progress, quality,   progress, quality, compliance, and return on investment.
compliance, and return on investment.
Source: GAO.




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Table 25: Stage 3 Evaluation Criteria for Framework Version 1.1

                                                                                                                                Related
                                                                                                                                survey
Element                                      Evaluation criteria                                                                questions
Written and approved organization            Agency responded that a written and approved organization policy exists for EA     7
policy exists for EA development.            development, and provided supporting documentation.
EA products are under configuration          Agency responded that EA products are under configuration management, and          24
management.                                  provided supporting documentation.
EA products describe or will describe        Agency responded that it either is in the process of developing an EA or has       1 and 4
both the “as-is” and the “to-be”             developed an EA; that the EA either describes or will describe the “as-is” and the
environments of the enterprise, as           “to-be” environments of the enterprise in terms of business, information/data,
well as a sequencing plan for                application/service, or technology; and that the EA includes or will include a
transitioning from the “as-is” to the “to-   sequencing plan for transitioning from the “as-is” to the “to-be” environments.
be.”
Both the “as-is” and the “to-be”             Agency responded that it either is in the process of developing an EA or has       1 and 4
environments are described or will be        developed an EA, and that both the “as-is” and the “to-be” environments are
described in terms of business,              described or will be described in terms of business, information/data,
performance, information/data,               application/service, and technology.
application/service, and technology.
Business, performance,                       Agency responded that it either is in the process of developing an EA or has       1 and 4
information/data, application/service,       developed an EA and that business, information/data, application/service, and
and technology descriptions address          technology descriptions address or will address security in both the “as-is” and
or will address security.                    “to-be” environments.
Progress against EA plans is                 Agency responded that progress against EA plans is measured and reported,          37
measured and reported.                       and provided supporting documentation.
Source: GAO.




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Table 26: Stage 4 Evaluation Criteria for Framework Version 1.1

                                                                                                                               Related
                                                                                                                               survey
Element                                      Evaluation criteria                                                               questions
Written and approved organization            Agency responded that a written and approved organization policy exists for EA    7
policy exists for EA maintenance.            maintenance, and provided supporting documentation.
EA products and management                   Agency responded that EA products and management processes undergo                21 and 22
processes undergo independent                independent verification and validation, and provided supporting documentation.
verification and validation.
EA products describe both the “as-is”        Agency responded that it has developed an EA; that the EA describes the “as-is” 1 and 4
and the “to-be” environments of the          and the “to-be” environments of the enterprise in terms of business,
enterprise, as well as a sequencing          information/data, application/service, or technology; and that the EA includes a
plan for transitioning from the “as-is” to   sequencing plan for transitioning from the “as-is” to the “to-be” environments.
the “to-be.”
Both the “as-is” and the “to-be”             Agency responded that it has developed an EA and that both the “as-is” and the    1 and 4
environments are described in terms          “to-be” environments are described in terms of business, information/data,
of business, performance,                    application/service, and technology.
information/data, application/service,
and technology.
Business, performance,                       Agency responded that it has developed an EA and that business,                    1 and 4
information/data, application/service,       information/data, application/service, and technology descriptions address or will
and technology descriptions address          address security in both the “as-is” and “to-be” environments.
security.
Organization CIO has approved                Agency responded that the organization CIO has approved the current version of 20
current version of EA.                       the EA, and provided supporting documentation.
Committee or group representing the Agency responded that a committee or group representing the enterprise or the              20
enterprise or the investment review   investment review board has approved the current version of the EA, and
board has approved current version of provided supporting documentation.
EA.
Quality of EA products is measured           Agency responded that the quality of EA products is measured and reported, and 36
and reported.                                provided supporting documentation.
Source: GAO.




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Table 27: Stage 5 Evaluation Criteria for Framework Version 1.1

                                                                                                                         Related
                                                                                                                         survey
Element                                 Evaluation criteria                                                              questions
Written and approved organization       Agency responded that a written and approved organization policy exists for IT   26
policy exists for IT investment         investment compliance with EA, and provided supporting documentation.
compliance with EA.
Process exists to formally manage EA Agency responded that a process exists to formally manage EA change.                25
change.
EA is integral component of IT          Agency responded that the EA is integral component of the IT investment          28
investment management process.          management process.
EA products are periodically updated.   Agency responded that its EA products are periodically updated, and provided     23
                                        supporting documentation.
IT investments comply with EA.          Agency responded that its IT investments comply with the EA.                     29
Organization head has approved          Agency responded that the organization head has approved current version of      20
current version of EA.                  EA, and provided supporting documentation.
Return on EA investment is measured Agency responded that return on EA investment is measured and reported, and          35
and reported.                       provided supporting documentation.
Compliance with EA is measured and      Agency responded that compliance with the EA is measured and reported and        38
reported.                               provided supporting documentation.
Source: GAO.

Legend: IT information technology

                                              After compiling agency responses and determining agencies’ respective
                                              maturity stages, we analyzed responses across different slices of our
                                              respondent population to determine patterns and issues.

                                              Finally, to determine OMB’s actions to oversee agency enterprise
                                              architecture management efforts, we analyzed relevant policy and budget
                                              guidance, obtained information about OMB’s roles in the CIO Council and
                                              efforts to develop and use the Federal Enterprise Architecture (FEA)
                                              (including OMB’s use of the FEA in the budget process), and interviewed
                                              OMB officials about ongoing and planned management actions. We also
                                              analyzed agency responses to survey questions regarding OMB’s enterprise
                                              architecture-related oversight and guidance.

                                              We conducted our work in the Washington, D.C., metropolitan area, from
                                              September 2002 to November 2003, in accordance with generally accepted
                                              government auditing standards.




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Appendix IV

Maturity Stages of Departments and Agencies
According to EA Maturity Framework,
Versions 1.0 and 1.1                                                                                                        Appendx
                                                                                                                                  iIV




                                             The following table presents three assessments of the maturity stage of
                                             each listed organization on the basis of the following: (1) responses to our
                                             2001 survey evaluated against Version 1.0 of our framework,1 (2) responses
                                             to our 2003 survey evaluated against Version 1.0 of our framework, and
                                             (3) responses to our 2003 survey evaluated against Version 1.1 of our
                                             framework.



Table 28: Agency Maturity Stages According to EAMMF, Versions 1.0 and 1.1

                                                                                                 Maturity stage
                                                                                       Version 1.0   Version 1.0 Version 1.1
Agency                                                                                      (2001)        (2003)      (2003)
Department of Agriculture                                                                       1              2                1
Agricultural Marketing Service                                                                  1              1                1
Agricultural Research Service                                                                   1              1                1
Animal and Plant Health Inspection Service                                                      1              1                1
Cooperative State Research, Education, and Extension Service                                    1              1                1
Food and Nutrition Service                                                                      1              1                1
Food Safety and Inspection Service                                                              1              1                1
Foreign Agricultural Service                                                                    1              1                1
Forest Service                                                                                  2              2                1
Risk Management Agency                                                                          1              1                1
Service Center Modernization Initiative                                                       N/A              1                1
Department of Commerce                                                                          3              1                1
Bureau of the Census                                                                            2              3                3
Economic Development Administration                                                             1              1                1
International Trade Administration                                                              1              1                1
National Oceanic and Atmospheric Administration                                                 3              2                2
U.S. Patent and Trademark Office                                                                4              2                2
Department of Defense—Global Information Grid Architecture                                      3              3                3
Department of Defense—Business Enterprise Architecture                                        N/A              1                1
Ballistic Missile Defense Organization                                                          2              3                3
Defense Advanced Research Projects Agency                                                       1              1                1
Defense Commissary Agency                                                                       1              1                1
Defense Contract Audit Agency                                                                   2              1                1



                                             1
                                             GAO-02-6.




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                                               Maturity Stages of Departments and
                                               Agencies According to EA Maturity
                                               Framework, Versions 1.0 and 1.1




(Continued From Previous Page)
                                                                                              Maturity stage
                                                                                    Version 1.0   Version 1.0 Version 1.1
Agency                                                                                   (2001)        (2003)      (2003)
Defense Contract Management Agency                                                           2              1            1
Defense Information Systems Agency                                                           1              3            1
Defense Intelligence Agency                                                                  2              3            1
Defense Logistics Agency                                                                     1              3            1
Defense Security Cooperation Agency                                                          1              1            1
Defense Security Service                                                                     2              1            1
Defense Threat Reduction Agency                                                              2              2            1
Department of the Air Force                                                                  3              3            3
Department of the Army                                                                       4              3            1
Department of the Navy                                                                       2              1            1
National Imagery and Mapping Agency                                                          2              2            1
Department of Education                                                                      2              2            1
Department of Energy                                                                         2              2            1
Department of Health and Human Services                                                      1              2            2
Administration for Children and Families                                                     1              1            1
Agency for Healthcare Research and Quality                                                   1              1            1
Centers for Disease Control and Prevention                                                   3              2            1
Centers for Medicare and Medicaid Services                                                   2              2            1
Food and Drug Administration                                                                 1              1            1
Health Resources and Services Administration                                                 1              1            1
Indian Health Service                                                                        2              1            1
Program Support Center                                                                       1              1            1
Department of Homeland Security                                                            N/A              3            3
Department of Housing and Urban Development                                                  1              3            3
Department of the Interior                                                                   2              2            2
Department of Justice                                                                        3              2            1
Bureau of Alcohol, Tobacco, Firearms and Explosives                                          2              4            2
Drug Enforcement Administration                                                              2              2            1
Federal Bureau of Investigation                                                              1              1            1
Federal Bureau of Prisons                                                                    2              1            1
U.S. Marshals Service                                                                        1              1            1
Department of Labor                                                                          2              1            1
Department of State                                                                          3              2            2
Department of Transportation                                                                 2              2            2
Federal Aviation Administration                                                              3              2            1




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                                                 Maturity Stages of Departments and
                                                 Agencies According to EA Maturity
                                                 Framework, Versions 1.0 and 1.1




(Continued From Previous Page)
                                                                                                Maturity stage
                                                                                      Version 1.0   Version 1.0 Version 1.1
Agency                                                                                     (2001)        (2003)      (2003)
Federal Highway Administration                                                                 1              1            1
Federal Motor Carrier Safety Administration                                                    2              1            1
Federal Railroad Administration                                                                1              1            1
Federal Transit Administration                                                                 1              1            1
National Highway Traffic Safety Administration                                                 2              1            1
Department of the Treasury                                                                     1              1            1
Bureau of Engraving and Printing                                                               1              3            3
Bureau of the Public Debt                                                                      3              1            1
Comptroller of the Currency                                                                    1              1            1
Financial Management Service                                                                   2              1            1
Internal Revenue Service                                                                       4              5            3
Office of Thrift Supervision                                                                   1              1            1
U.S. Mint                                                                                      2              3            1
Department of Veterans Affairs                                                                 1              3            3
Independent agencies:
Agency for International Development                                                           3              1            1
Central Intelligence Agency                                                                    1              1            1
Corporation for National and Community Service                                                 1              2            1
Environmental Protection Agency                                                                3              2            1
Equal Employment Opportunity Commission                                                        1              2            1
Executive Office of the President                                                              2              5            5
Export-Import Bank                                                                             3              1            1
Federal Deposit Insurance Corporation                                                          1              1            1
Federal Energy Regulatory Commission                                                           1              1            1
Federal Reserve System                                                                         1              1            1
Federal Retirement Thrift Investment Board                                                     1              1            1
General Services Administration                                                                2              2            1
National Aeronautics and Space Administration                                                  2              1            1
National Credit Union Administration                                                           1              1            1
National Labor Relations Board                                                                 1              2            1
Nuclear Regulatory Commission                                                                  1              3            2
Office of Personnel Management                                                                 4              5            1
Peace Corps                                                                                    1              2            1
Railroad Retirement Board                                                                      2              2            2
Securities and Exchange Commission                                                             2              3            2




                                                 Page 86                                   GAO-04-40 Enterprise Architecture
                                 Appendix IV
                                 Maturity Stages of Departments and
                                 Agencies According to EA Maturity
                                 Framework, Versions 1.0 and 1.1




(Continued From Previous Page)
                                                                                Maturity stage
                                                                      Version 1.0   Version 1.0 Version 1.1
Agency                                                                     (2001)        (2003)      (2003)
Small Business Administration                                                  2              1            1
Smithsonian Institution                                                        2              2            1
Social Security Administration                                                 2              3            1
U.S. Postal Service                                                            2              2            1
Source: GAO.




                                 Page 87                                   GAO-04-40 Enterprise Architecture
Appendix V

Detailed Comparison of Individual
Department Responses against Our EA
Management Maturity Framework                                                                                                                      Append
                                                                                                                                                        x
                                                                                                                                                        i
                                                                                                                                                        V




Department of                                         The Department of Agriculture provided its 2001 survey responses on
                                                      July 9, 2001, and its 2003 responses on May 12, 2003.
Agriculture


Table 29: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Department of
Agriculture

                                                                                                                                 Satisfied?
                                                                                                                           2001        2003
Stage                     Element                                                                                          results     results
Stage 1:                  Agency is aware of EA.                                                                           Yes         Yes
Creating EA
awareness
Stage 2:                  Committee or group representing the enterprise is responsible for directing, overseeing,         No          Yes
Building the EA           and/or approving EA.
management                Program office responsible for EA development exists.                                            Yes         Yes
foundation
                          Chief architect exists.                                                                          No          Yes
                          EA being developed using a frame work and automated tool.                                        Yes         Yes
                          EA plans call for describing enterprise in terms of business, data, applications, or             Yes         Yes
                          technology.
                          EA plans call for describing “as is” environment, “to be” environment, or sequencing plan.       Yes         Yes
Stage 3:                  Written/approved policy exists for EA development.                                               No          No
Developing                EA products are under configuration management.                                                  No          No
architecture
products                  EA products describe or will describe enterprise’s business—and the data, applications,          Yes         Yes
                          and technology that support it.
                          EA products describe or will describe “as is” environment, “to be” environment, and              Yes         Yes
                          sequencing plan.
                          EA scope is enterprise-focused.                                                                  Yes         Yes
Stage 4:                  Written/approved policy exists for information technology investment compliance with EA.         Yes         No
Completing                EA products describe enterprise’s business—and the data, applications, and technology            No          No
architecture              that support it.
products
                          EA products describe “as is” environment, “to be” environment, and sequencing plan.              No          No
                          Agency chief information officer has approved EA.                                                Yes         No
Stage 5:                  Written/approved policy exists for EA maintenance.                                               No          No
Leveraging the            Either EA steering committee, investment review board, or agency head has approved EA. No                    No
EA for managing
change                    Metrics exist for measuring EA benefits.                                                         No          No
Overall maturity                                                                                                           Stage 1     Stage 2
stage
Sources: GAO, agency cited.

                                                      Note: Each stage includes all elements of previous stages.




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                                               Department Responses against Our EA
                                               Management Maturity Framework




Table 30: Maturity Assessment in 2003 (According to Framework Version 1.1): Department of Agriculture

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         No
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in        Yes
                          Stage 2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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                                                 Detailed Comparison of Individual
                                                 Department Responses against Our EA
                                                 Management Maturity Framework




(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       No
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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                                                   Detailed Comparison of Individual
                                                   Department Responses against Our EA
                                                   Management Maturity Framework




Department of                                      The Department of Commerce provided its 2001 survey responses on June
                                                   29, 2001, and its 2003 responses on April 18, 2003.
Commerce


Table 31: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Department of
Commerce

                                                                                                                          Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             No
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                Yes             Yes
Developing architecture       EA products are under configuration management.                                   Yes             Yes
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                Yes             No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 Yes             Yes
Stage 5:                      Written/approved policy exists for EA maintenance.                                Yes             Yes
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             Yes             Yes
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          Yes             No
Overall maturity stage                                                                                          Stage 3         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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                                               Department Responses against Our EA
                                               Management Maturity Framework




Table 32: Maturity Assessment in 2003 (According to Framework Version 1.1): Department of Commerce

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         Yes
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               Yes
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in        Yes
                          Stage 2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               Yes
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         Yes
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              Yes
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        Yes
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  Yes




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                                                 Department Responses against Our EA
                                                 Management Maturity Framework




(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




                                                 Page 93                                                      GAO-04-40 Enterprise Architecture
                                               Appendix V
                                               Detailed Comparison of Individual
                                               Department Responses against Our EA
                                               Management Maturity Framework




Department of Defense

Global Information Grid                        The Department of Defense provided its 2001 survey responses on July 25,
                                               2001, and its 2003 response for its Global Information Grid on June 5, 2003.



Table 33: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Department of Defense,
Global Information Grid

                                                                                                                 Satisfied?
Stage                     Element                                                                     2001 results    2003 results
Stage 1:                  Agency is aware of EA.                                                      Yes             Yes
Creating EA awareness
Stage 2:                  Committee or group representing the enterprise is responsible for directing, Yes            Yes
Building the EA           overseeing, and/or approving EA.
management foundation     Program office responsible for EA development exists.                       Yes             Yes
                          Chief architect exists.                                                     Yes             Yes
                          EA being developed using a framework and automated tool.                    Yes             Yes
                          EA plans call for describing enterprise in terms of business, data,         Yes             Yes
                          applications, or technology.
                          EA plans call for describing “as is” environment, “to be” environment, or   Yes             Yes
                          sequencing plan.
Stage 3:                  Written/approved policy exists for EA development.                          Yes             Yes
Developing architecture   EA products are under configuration management.                             Yes             Yes
products
                          EA products describe or will describe enterprise’s business—and the data, Yes               Yes
                          applications, and technology that support it.
                          EA products describe or will describe “as is” environment, “to be”          Yes             Yes
                          environment, and sequencing plan.
                          EA scope is enterprise-focused.                                             Yes             Yes
Stage 4:                  Written/approved policy exists for information technology investment        Yes             Yes
Completing architecture   compliance with EA.
products                  EA products describe enterprise’s business—and the data, applications,      Yes             Yes
                          and technology that support it.
                          EA products describe “as is” environment, “to be” environment, and          No              No
                          sequencing plan.
                          Agency chief information officer has approved EA.                           Yes             Yes




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                                                 Appendix V
                                                 Detailed Comparison of Individual
                                                 Department Responses against Our EA
                                                 Management Maturity Framework




(Continued From Previous Page)
                                                                                                                         Satisfied?
Stage                         Element                                                                         2001 results    2003 results
Stage 5:                      Written/approved policy exists for EA maintenance.                              Yes             Yes
Leveraging the EA for         Either EA steering committee, investment review board, or agency head           Yes             Yes
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                        No              Yes
Overall maturity stage                                                                                        Stage 3         Stage 3
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




                                                 Page 95                                                      GAO-04-40 Enterprise Architecture
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                                               Detailed Comparison of Individual
                                               Department Responses against Our EA
                                               Management Maturity Framework




Table 34: Maturity Assessment in 2003 (According to Framework Version 1.1): Department of Defense, Global Information Grid

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         Yes
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               Yes
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               Yes
Completing architecture   EA products and management processes undergo independent verification and validation.             Yes
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    Yes
                          These descriptions address security.                                                              Yes
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        Yes
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  Yes




                                               Page 96                                                 GAO-04-40 Enterprise Architecture
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                                                 Detailed Comparison of Individual
                                                 Department Responses against Our EA
                                                 Management Maturity Framework




(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        Yes
Overall maturity stage                                                                                                            Stage 3
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




                                                 Page 97                                                      GAO-04-40 Enterprise Architecture
                                                         Appendix V
                                                         Detailed Comparison of Individual
                                                         Department Responses against Our EA
                                                         Management Maturity Framework




Business Enterprise                                      The Department of Defense provided its 2003 response for its Business
Architecture                                             Enterprise Architecture on May 30, 2003. The department did not provide a
                                                         similar response to our 2001 survey.



Table 35: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Department of Defense,
Business Enterprise Architecture

                                                                                                                                     Satisfied?
                                                                                                                               2001        2003
Stage                         Element                                                                                          results     results
Stage 1:                      Agency is aware of EA.                                                                           —           Yes
Creating EA
awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, overseeing,         —           No
Building the EA               and/or approving EA.
management                    Program office responsible for EA development exists.                                            —           Yes
foundation
                              Chief architect exists.                                                                          —           Yes
                              EA being developed using a framework and automated tool.                                         —           Yes
                              EA plans call for describing enterprise in terms of business, data, applications, or             —           Yes
                              technology.
                              EA plans call for describing “as is” environment, “to be” environment, or sequencing plan.       —           Yes
Stage 3:                      Written/approved policy exists for EA development.                                               —           No
Developing                    EA products are under configuration management.                                                  —           Yes
architecture
products                      EA products describe or will describe enterprise’s business—and the data, applications,          —           Yes
                              and technology that support it.
                              EA products describe or will describe “as is” environment, “to be” environment, and              —           Yes
                              sequencing plan.
                              EA scope is enterprise-focused.                                                                  —           Yes
Stage 4:                      Written/approved policy exists for information technology investment compliance with EA.         —           No
Completing                    EA products describe enterprise’s business—and the data, applications, and technology            —           No
architecture                  that support it.
products
                              EA products describe “as is” environment, “to be” environment, and sequencing plan.              —           No
                              Agency chief information officer has approved EA.                                                —           Yes
Stage 5:          Written/approved policy exists for EA maintenance.                                                           —           No
Leveraging the EA Either EA steering committee, investment review board, or agency head has approved EA.                       —           Yes
for managing
change            Metrics exist for measuring EA benefits.                                                                     —           No
Overall maturity                                                                                                               N/A         Stage 1
stage
Sources: GAO, agency cited.

                                                         Note: Each stage includes all elements of previous stages.




                                                         Page 98                                                      GAO-04-40 Enterprise Architecture
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                                               Detailed Comparison of Individual
                                               Department Responses against Our EA
                                               Management Maturity Framework




Table 36: Maturity Assessment in 2003 (According to Framework Version 1.1): Department of Defense, Business Enterprise
Architectur

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       No
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         Yes
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    No
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in        Yes
                          Stage 2.
                          These descriptions address or will address security.                                              No
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        Yes
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  Yes




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                                                 Detailed Comparison of Individual
                                                 Department Responses against Our EA
                                                 Management Maturity Framework




(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       No
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      No
                              Organization head has approved current version of EA.                                               Yes
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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                                                   Detailed Comparison of Individual
                                                   Department Responses against Our EA
                                                   Management Maturity Framework




Department of                                      The Department of Education provided its 2001 survey responses on July
                                                   23, 2001, and its 2003 responses on April 28, 2003.
Education


Table 37: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Department of
Education

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             Yes
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                Yes             No
Developing architecture       EA products are under configuration management.                                   No              Yes
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 Yes             Yes
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             Yes             Yes
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              Yes
Overall maturity stage                                                                                          Stage 2         Stage 2
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 38: Maturity Assessment in 2003 (According to Framework Version 1.1): Department of Education

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         No
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         Yes
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        Yes
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   Yes
                              Compliance with EA is measured and reported.                                                        Yes
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Department of Energy                               The Department of Energy provided its 2001 survey responses on June 28,
                                                   2001, and its 2003 responses on April 23, 2003.



Table 39: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Department of Energy

                                                                                                                          Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             Yes
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              No
Developing architecture       EA products are under configuration management.                                   Yes             No
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              No              No
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            Yes             No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                Yes             No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 Yes             Yes
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             Yes             No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          Yes             Yes
Overall maturity stage                                                                                          Stage 2         Stage 2
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 40: Maturity Assessment in 2003 (According to Framework Version 1.1): Department of Energy

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  Yes




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(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        Yes
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Department of Health                               The Department of Health and Human Services provided its 2001 survey
                                                   responses on August 14, 2001, and its 2003 responses on May 12, 2003.
and Human Services


Table 41: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Department of Health
and Human Services

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             No              Yes
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              No
Developing architecture       EA products are under configuration management.                                   Yes             No
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 Yes             No
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             Yes             No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 1         Stage 2
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 42: Maturity Assessment in 2003 (According to Framework Version 1.1): Department of Health and Human Services

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         Yes
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       No
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 2
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Department of                                            The Department of Homeland Security was not involved in our 2001 survey
                                                         because it was established on March 1, 2003. It provided its 2003 responses
Homeland Security                                        on June 10, 2003.



Table 43: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Department of
Homeland Security

                                                                                                                                    Satisfied?
                                                                                                                              2001        2003
Stage                         Element                                                                                         results     results
Stage 1:                      Agency is aware of EA.                                                                          —           Yes
Creating EA
awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, overseeing,        —           Yes
Building the EA               and/or approving EA.
management                    Program office responsible for EA development exists.                                           —           Yes
foundation
                              Chief architect exists.                                                                         —           Yes
                              EA being developed using a framework and automated tool.                                        —           Yes
                              EA plans call for describing enterprise in terms of business, data, applications, or            —           Yes
                              technology.
                              EA plans call for describing “as is” environment, “to be” environment, or sequencing plan.      —           Yes
Stage 3:                      Written/approved policy exists for EA development.                                              —           Yes
Developing                    EA products are under configuration management.                                                 —           Yes
architecture
products                      EA products describe or will describe enterprise’s business—and the data, applications,         —           Yes
                              and technology that support it.
                              EA products describe or will describe “as is” environment, “to be” environment, and             —           Yes
                              sequencing plan.
                              EA scope is enterprise-focused.                                                                 —           Yes
Stage 4:                      Written/approved policy exists for information technology investment compliance with EA.        —           Yes
Completing                    EA products describe enterprise’s business—and the data, applications, and technology           —           No
architecture                  that support it.
products
                              EA products describe “as is” environment, “to be” environment, and sequencing plan.             —           No
                              Agency chief information officer has approved EA.                                               —           No
Stage 5:          Written/approved policy exists for EA maintenance.                                     —                                Yes
Leveraging the EA Either EA steering committee, investment review board, or agency head has approved EA. —                                No
for managing
change            Metrics exist for measuring EA benefits.                                               —                                Yes
Overall maturity                                                                                                              N/A         Stage 3
stage
Sources: GAO, agency cited.

                                                         Note: Each stage includes all elements of previous stages.




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Table 44: Maturity Assessment in 2003 (According to Framework Version 1.1): Department of Homeland Security

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         Yes
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               Yes
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               Yes
Completing architecture   EA products and management processes undergo independent verification and validation.             Yes
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  Yes




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(Continued From Previous Page)
Stage                         Element                                                                                            Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.              Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                       Yes
managing change
                              EA is integral component of IT investment management process.                                      Yes
                              EA products are periodically updated.                                                              Yes
                              IT investments comply with EA.                                                                     Yes
                              Organization head has approved current version of EA.                                              No
                              Return on EA investment is measured and reported.                                                  Yes
                              Compliance with EA is measured and reported.                                                       Yes
Overall maturity stage                                                                                                           Stage 3
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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                                                      Management Maturity Framework




Department of Housing                                 The Department of Housing and Urban Development provided its 2001
                                                      survey responses on June 28, 2001, and its 2003 responses on April 21, 2003.
and Urban
Development


Table 45: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Department of Housing
and Urban Development

                                                                                                                                   Satisfied?
                                                                                                                             2001      2003
Stage                     Element                                                                                            results   results
Stage 1:                  Agency is aware of EA.                                                                             Yes       Yes
Creating EA
awareness
Stage 2:                  Committee or group representing the enterprise is responsible for directing, overseeing,           No        Yes
Building the EA           and/or approving EA.
management                Program office responsible for EA development exists.                                              Yes       Yes
foundation
                          Chief architect exists.                                                                            Yes       Yes
                          EA being developed using a framework and automated tool.                                           Yes       Yes
                          EA plans call for describing enterprise in terms of business, data, applications, or technology. Yes         Yes
                          EA plans call for describing “as is” environment, “to be” environment, or sequencing plan.         Yes       Yes
Stage 3:                  Written/approved policy exists for EA development.                                                 No        Yes
Developing                EA products are under configuration management.                                                    Yes       Yes
architecture
products                  EA products describe or will describe enterprise’s business—and the data, applications, and        Yes       Yes
                          technology that support it.
                          EA products describe or will describe “as is” environment, “to be” environment, and                Yes       Yes
                          sequencing plan.
                          EA scope is enterprise-focused.                                                                    Yes       Yes
Stage 4:                  Written/approved policy exists for information technology investment compliance with EA.           Yes       Yes
Completing                EA products describe enterprise’s business—and the data, applications, and technology that Yes               No
architecture              support it.
products
                          EA products describe “as is” environment, “to be” environment, and sequencing plan.                No        No
                          Agency chief information officer has approved EA.                                                  Yes       Yes
Stage 5:        Written/approved policy exists for EA maintenance.                                                           No        Yes
Leveraging the  Either EA steering committee, investment review board, or agency head has approved EA.                       No        No
EA for managing
change          Metrics exist for measuring EA benefits.                                                                     No        Yes
Overall maturity                                                                                                             Stage 1   Stage 3
stage
Sources: GAO, agency cited.

                                                      Note: Each stage includes all elements of previous stages.




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Table 46: Maturity Assessment in 2003 (According to Framework Version 1.1): Department of Housing and Urban Development

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         Yes
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               Yes
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in        Yes
                          Stage 2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               Yes
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              Yes
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        Yes
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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                                                 Department Responses against Our EA
                                                 Management Maturity Framework




(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   Yes
                              Compliance with EA is measured and reported.                                                        Yes
Overall maturity stage                                                                                                            Stage 3
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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                                                   Department Responses against Our EA
                                                   Management Maturity Framework




Department of the                                  The Department of the Interior provided its 2001 survey responses on June
                                                   29, 2001, and its 2003 responses on April 21, 2003.
Interior


Table 47: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Department of the
Interior

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             Yes
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              No
Developing architecture       EA products are under configuration management.                                   No              Yes
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              No              Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 No              Yes
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              Yes
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          Yes             Yes
Overall maturity stage                                                                                          Stage 2         Stage 2
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 48: Maturity Assessment in 2003 (According to Framework Version 1.1): Department of the Interior

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         Yes
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         Yes
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        Yes
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  Yes




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        Yes
Overall maturity stage                                                                                                            Stage 2
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Department of Justice                              The Department of Justice provided its 2001 survey responses on July 10,
                                                   2001, and its 2003 responses on May 20, 2003.



Table 49: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Department of Justice

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             Yes
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                Yes             No
Developing architecture       EA products are under configuration management.                                   Yes             No
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             No
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 Yes             No
Stage 5:                      Written/approved policy exists for EA maintenance.                                Yes             No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             Yes             No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 3         Stage 2
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 50: Maturity Assessment in 2003 (According to Framework Version 1.1): Department of Justice

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Department of Labor                                The Department of Labor provided its 2001 survey responses on July 2,
                                                   2001, and its 2003 responses on April 17, 2003.



Table 51: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Department of Labor

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             No
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                Yes             No
Developing architecture       EA products are under configuration management.                                   No              No
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            Yes             Yes
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              Yes
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 Yes             Yes
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             Yes             Yes
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 2         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 52: Maturity Assessment in 2003 (According to Framework Version 1.1): Department of Labor

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in        Yes
                          Stage 2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         Yes
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    Yes
                          These descriptions address security.                                                              Yes
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        Yes
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Department of State                                The Department of State provided its 2001 survey responses on July 13,
                                                   2001, and its 2003 responses on May 12, 2003.



Table 53: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Department of State

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             Yes
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                Yes             No
Developing architecture       EA products are under configuration management.                                   Yes             Yes
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 No              Yes
Stage 5:                      Written/approved policy exists for EA maintenance.                                Yes             No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              Yes
Overall maturity stage                                                                                          Stage 3         Stage 2
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 54: Maturity Assessment in 2003 (According to Framework Version 1.1): Department of State

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         Yes
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        Yes
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        Yes
Overall maturity stage                                                                                                            Stage 2
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Department of                                           The Department of Transportation provided its 2001 survey responses on
                                                        June 29, 2001, and its 2003 responses on April 24, 2003.
Transportation


Table 55: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Department of
Transportation

                                                                                                                                     Satisfied?
                                                                                                                               2001        2003
Stage                         Element                                                                                          results     results
Stage 1:                      Agency is aware of EA.                                                                           Yes         Yes
Creating EA
awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, overseeing,         Yes         Yes
Building the EA               and/or approving EA.
management                    Program office responsible for EA development exists.                                            Yes         Yes
foundation
                              Chief architect exists.                                                                          Yes         Yes
                              EA being developed using a framework and automated tool.                                         Yes         Yes
                              EA plans call for describing enterprise in terms of business, data, applications, or             Yes         Yes
                              technology.
                              EA plans call for describing “as is” environment, “to be” environment, or sequencing plan.       Yes         Yes
Stage 3:                      Written/approved policy exists for EA development.                                               No          Yes
Developing                    EA products are under configuration management.                                                  No          No
architecture
products                      EA products describe or will describe enterprise’s business—and the data, applications,          Yes         Yes
                              and technology that support it.
                              EA products describe or will describe “as is” environment, “to be” environment, and              Yes         Yes
                              sequencing plan.
                              EA scope is enterprise-focused.                                                                  Yes         Yes
Stage 4:                      Written/approved policy exists for information technology investment compliance with EA.         No          Yes
Completing                    EA products describe enterprise’s business—and the data, applications, and technology            No          No
architecture                  that support it.
products
                              EA products describe “as is” environment, “to be” environment, and sequencing plan.              No          No
                              Agency chief information officer has approved EA.                                                No          No
Stage 5:                      Written/approved policy exists for EA maintenance.                                               No          No
Leveraging the EA             Either EA steering committee, investment review board, or agency head has approved EA. No                    No
for managing
change                        Metrics exist for measuring EA benefits.                                                         No          No
Overall maturity                                                                                                               Stage 2     Stage 2
stage
Sources: GAO, agency cited.

                                                        Note: Each stage includes all elements of previous stages.




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Table 56: Maturity Assessment in 2003 (According to Framework Version 1.1): Department of Transportation

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         Yes
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               Yes
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in        Yes
                          Stage 2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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                                                 Department Responses against Our EA
                                                 Management Maturity Framework




(Continued From Previous Page)
Stage                         Element                                                                                            Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.              Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                       No
managing change
                              EA is integral component of IT investment management process.                                      Yes
                              EA products are periodically updated.                                                              No
                              IT investments comply with EA.                                                                     Yes
                              Organization head has approved current version of EA.                                              No
                              Return on EA investment is measured and reported.                                                  No
                              Compliance with EA is measured and reported.                                                       No
Overall maturity stage                                                                                                           Stage 2
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Department of the                                  The Department of the Treasury provided its 2001 survey responses on
                                                   June 28, 2001, and its 2003 responses on April 26, 2003.
Treasury


Table 57: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Department of the
Treasury

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, No                   No
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             Yes
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                Yes             No
Developing architecture       EA products are under configuration management.                                   No              No
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 No              Yes
Stage 5:                      Written/approved policy exists for EA maintenance.                                Yes             No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              Yes
Overall maturity stage                                                                                          Stage 1         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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                                               Department Responses against Our EA
                                               Management Maturity Framework




Table 58: Maturity Assessment in 2003 (According to Framework Version 1.1): Department of the Treasury

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       No
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        Yes
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  Yes




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                                                 Department Responses against Our EA
                                                 Management Maturity Framework




(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        Yes
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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                                                   Department Responses against Our EA
                                                   Management Maturity Framework




Department of                                      The Department of Veterans Affairs provided its 2001 survey responses on
                                                   August 17, 2001, and its 2003 responses on April 21, 2003.
Veterans Affairs


Table 59: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Department of Veterans
Affairs

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             No              Yes
                              Chief architect exists.                                                           No              Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              Yes
Developing architecture       EA products are under configuration management.                                   Yes             Yes
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 Yes             Yes
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              Yes
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              Yes
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          Yes             Yes
Overall maturity stage                                                                                          Stage 1         Stage 3
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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                                               Management Maturity Framework




Table 60: Maturity Assessment in 2003 (According to Framework Version 1.1): Department of Veterans Affairs

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         Yes
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               Yes
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               Yes
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         Yes
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              Yes
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        Yes
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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                                                 Department Responses against Our EA
                                                 Management Maturity Framework




(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               Yes
                              Return on EA investment is measured and reported.                                                   Yes
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 3
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Detailed Comparison of Individual
Component Responses against Our EA
Management Maturity Framework                                                                                                         Appendx
                                                                                                                                            iVI




Department of
Agriculture

Agricultural Marketing                         The Agricultural Marketing Service provided its 2001 survey responses on
Service                                        July 9, 2001, and its 2003 responses on May 13, 2003.




Table 61: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Agricultural Marketing
Service

                                                                                                                 Satisfied?
Stage                     Element                                                                     2001 results    2003 results
Stage 1:                  Agency is aware of EA.                                                      Yes             Yes
Creating EA awareness
Stage 2:                  Committee or group representing the enterprise is responsible for directing, Yes            No
Building the EA           overseeing, and/or approving EA.
management foundation     Program office responsible for EA development exists.                       Yes             No
                          Chief architect exists.                                                     No              No
                          EA being developed using a framework and automated tool.                    No              No
                          EA plans call for describing enterprise in terms of business, data,         Yes             Yes
                          applications, or technology.
                          EA plans call for describing “as is” environment, “to be” environment, or   Yes             Yes
                          sequencing plan.
Stage 3:                  Written/approved policy exists for EA development.                          No              No
Developing architecture   EA products are under configuration management.                             No              No
products
                          EA products describe or will describe enterprise’s business—and the data, No                Yes
                          applications, and technology that support it.
                          EA products describe or will describe “as is” environment, “to be”          Yes             Yes
                          environment, and sequencing plan.
                          EA scope is enterprise-focused.                                             Yes             Yes
Stage 4:                  Written/approved policy exists for information technology investment        Yes             No
Completing architecture   compliance with EA.
products                  EA products describe enterprise’s business—and the data, applications,      No              No
                          and technology that support it.
                          EA products describe “as is” environment, “to be” environment, and          Yes             No
                          sequencing plan.
                          Agency chief information officer has approved EA.                           Yes             No




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                                                 Management Maturity Framework




(Continued From Previous Page)
                                                                                                                         Satisfied?
Stage                         Element                                                                         2001 results    2003 results
Stage 5:                      Written/approved policy exists for EA maintenance.                              No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head           Yes             No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                        No              No
Overall maturity stage                                                                                        Stage 1         Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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                                               Component Responses against Our EA
                                               Management Maturity Framework




Table 62: Maturity Assessment in 2003 (According to Framework Version 1.1): Agricultural Marketing Service

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       No
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           No
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return No
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         No
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage No
                          2.
                          These descriptions address or will address security.                                              No
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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                                                 Detailed Comparison of Individual
                                                 Component Responses against Our EA
                                                 Management Maturity Framework




(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       No
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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                                                        Component Responses against Our EA
                                                        Management Maturity Framework




Agricultural Research                                   The Agricultural Research Service provided its 2001 survey responses on
Service                                                 July 13, 2001, and its 2003 responses on April 18, 2003.




Table 63: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Agricultural Research
Service

                                                                                                                                    Satisfied?
                                                                                                                             2001        2003
Stage                         Element                                                                                        results     results
Stage 1:                      Agency is aware of EA.                                                                         Yes         Yes
Creating EA
awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, overseeing,       No          Yes
Building the EA               and/or approving EA.
management                    Program office responsible for EA development exists.                                          No          No
foundation
                              Chief architect exists.                                                                        No          Yes
                              EA being developed using a framework and automated tool.                                       No          Yes
                              EA plans call for describing enterprise in terms of business, data, applications, or           No          Yes
                              technology.
                              EA plans call for describing “as is” environment, “to be” environment, or sequencing plan. No              Yes
Stage 3:                      Written/approved policy exists for EA development.                                             No          No
Developing                    EA products are under configuration management.                                                No          No
architecture
products                      EA products describe or will describe enterprise’s business—and the data, applications,        No          Yes
                              and technology that support it.
                              EA products describe or will describe “as is” environment, “to be” environment, and            No          Yes
                              sequencing plan.
                              EA scope is enterprise-focused.                                                                No          Yes
Stage 4:                      Written/approved policy exists for information technology investment compliance with EA. No                No
Completing                    EA products describe enterprise’s business—and the data, applications, and technology          No          No
architecture                  that support it.
products
                              EA products describe “as is” environment, “to be” environment, and sequencing plan.            No          No
                              Agency chief information officer has approved EA.                                              No          No
Stage 5:                      Written/approved policy exists for EA maintenance.                                             No          No
Leveraging the EA             Either EA steering committee, investment review board, or agency head has approved EA. No                  No
for managing
change                        Metrics exist for measuring EA benefits.                                                       No          No
Overall maturity                                                                                                             Stage 1     Stage 1
stage
Sources: GAO, agency cited.

                                                        Note: Each stage includes all elements of previous stages.




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                                               Component Responses against Our EA
                                               Management Maturity Framework




Table 64: Maturity Assessment in 2003 (According to Framework Version 1.1): Agricultural Research Service

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in        Yes
                          Stage 2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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                                                 Detailed Comparison of Individual
                                                 Component Responses against Our EA
                                                 Management Maturity Framework




(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       No
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      No
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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                                                      Component Responses against Our EA
                                                      Management Maturity Framework




Animal and Plant Health                               The Animal and Plant Health Inspection Service provided its 2001 survey
Inspection Service                                    responses on June 26, 2001, and its 2003 responses on April 21, 2003.




Table 65: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Animal and Plant
Health Inspection Service

                                                                                                                                  Satisfied?
                                                                                                                            2001         2003
Stage                    Element                                                                                            results      results
Stage 1:                 Agency is aware of EA.                                                                             Yes          Yes
Creating EA
awareness
Stage 2:                 Committee or group representing the enterprise is responsible for directing, overseeing,           Yes          No
Building the EA          and/or approving EA.
management               Program office responsible for EA development exists.                                              Yes          No
foundation
                         Chief architect exists.                                                                            No           No
                         EA being developed using a framework and automated tool.                                           Yes          Yes
                         EA plans call for describing enterprise in terms of business, data, applications, or technology. Yes            Yes
                         EA plans call for describing “as is” environment, “to be” environment, or sequencing plan.         Yes          Yes
Stage 3:                 Written/approved policy exists for EA development.                                                 No           No
Developing               EA products are under configuration management.                                                    No           No
architecture
products                 EA products describe or will describe enterprise’s business—and the data, applications, and        Yes          Yes
                         technology that support it.
                         EA products describe or will describe “as is” environment, “to be” environment, and                No           Yes
                         sequencing plan.
                         EA scope is enterprise-focused.                                                                    Yes          Yes
Stage 4:                 Written/approved policy exists for information technology investment compliance with EA.           Yes          No
Completing               EA products describe enterprise’s business—and the data, applications, and technology that Yes                  No
architecture             support it.
products
                         EA products describe “as is” environment, “to be” environment, and sequencing plan.                No           No
                         Agency chief information officer has approved EA.                                                  Yes          No
Stage 5:        Written/approved policy exists for EA maintenance.                                                          No           No
Leveraging the  Either EA steering committee, investment review board, or agency head has approved EA.                      Yes          No
EA for managing
change          Metrics exist for measuring EA benefits.                                                                    No           No
Overall                                                                                                                     Stage 1      Stage 1
maturity stage
Sources: GAO, agency cited.

                                                      Note: Each stage includes all elements of previous stages.




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                                               Component Responses against Our EA
                                               Management Maturity Framework




Table 66: Maturity Assessment in 2003 (According to Framework Version 1.1): Animal and Plant Health Inspection Service

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         No
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       No
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           No
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    No
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in        Yes
                          Stage 2.
                          These descriptions address or will address security.                                              No
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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                                                 Detailed Comparison of Individual
                                                 Component Responses against Our EA
                                                 Management Maturity Framework




(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       No
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      No
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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                                                         Component Responses against Our EA
                                                         Management Maturity Framework




Cooperative State Research,                              The Cooperative State Research, Education, and Extension Service
Education, and Extension                                 provided its 2001 survey responses on July 9, 2001, and its 2003 responses
                                                         on April 16, 2003.
Service


Table 67: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Cooperative State
Research, Education, and Extension Service

                                                                                                                                        Satisfied?
                                                                                                                                  2001       2003
Stage                         Element                                                                                             results    results
Stage 1:                      Agency is aware of EA.                                                                              Yes        Yes
Creating EA
awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, overseeing,            No         No
Building the EA               and/or approving EA.
management                    Program office responsible for EA development exists.                                               No         Yes
foundation
                              Chief architect exists.                                                                             No         Yes
                              EA being developed using a framework and automated tool.                                            No         No
                              EA plans call for describing enterprise in terms of business, data, applications, or technology.    Yes        Yes
                              EA plans call for describing “as is” environment, “to be” environment, or sequencing plan.          Yes        Yes
Stage 3:                      Written/approved policy exists for EA development.                                                  No         No
Developing                    EA products are under configuration management.                                                     No         No
architecture
products                      EA products describe or will describe enterprise’s business—and the data, applications, and         Yes        Yes
                              technology that support it.
                              EA products describe or will describe “as is” environment, “to be” environment, and                 Yes        Yes
                              sequencing plan.
                              EA scope is enterprise-focused.                                                                     Yes        Yes
Stage 4:                      Written/approved policy exists for information technology investment compliance with EA.            No         No
Completing                    EA products describe enterprise’s business—and the data, applications, and technology that          No         No
architecture                  support it.
products
                              EA products describe “as is” environment, “to be” environment, and sequencing plan.                 No         No
                              Agency chief information officer has approved EA.                                                   No         No
Stage 5:          Written/approved policy exists for EA maintenance.                                                              No         No
Leveraging the EA Either EA steering committee, investment review board, or agency head has approved EA.                          No         No
for managing
change            Metrics exist for measuring EA benefits.                                                                        No         No
Overall maturity                                                                                                                  Stage 1    Stage 1
stage
Sources: GAO, agency cited.

                                                         Note: Each stage includes all elements of previous stages.




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Table 68: Maturity Assessment in 2003 (According to Framework Version 1.1): Cooperative State Research, Education, and
Extension Service

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       No
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Food and Nutrition Service                         The Food and Nutrition Service provided its 2001 survey responses on July
                                                   17, 2001, and its 2003 responses on April 24, 2003.



Table 69: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Food and Nutrition
Service

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  No
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             Yes
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          No              No
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              No
Developing architecture       EA products are under configuration management.                                   No              No
products
                              EA products describe or will describe enterprise’s business—and the data, No                      Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             No
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 Yes             No
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             Yes             No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 1         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 70: Maturity Assessment in 2003 (According to Framework Version 1.1): Food and Nutrition Service

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       No
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         No
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage No
                          2.
                          These descriptions address or will address security.                                              No
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       No
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Food Safety and Inspection                         The Food Safety and Inspection Service provided its 2001 survey responses
Service                                            on July 9, 2001, and its 2003 responses on June 10, 2003.




Table 71: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Food Safety and
Inspection Service

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, No                   Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             No              No
                              Chief architect exists.                                                           No              No
                              EA being developed using a framework and automated tool.                          No              No
                              EA plans call for describing enterprise in terms of business, data,               No              Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         No              Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              No
Developing architecture       EA products are under configuration management.                                   No              No
products
                              EA products describe or will describe enterprise’s business—and the data, No                      Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                No              Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   No              Yes
Stage 4:                      Written/approved policy exists for information technology investment              No              No
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 No              No
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 1         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 72: Maturity Assessment in 2003 (According to Framework Version 1.1): Food Safety and Inspection Service

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         No
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           No
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         No
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage No
                          2.
                          These descriptions address or will address security.                                              No
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Foreign Agricultural Service                       The Foreign Agricultural Service provided its 2001 survey responses on
                                                   July 12, 2001, and its 2003 responses on May 5, 2003.




Table 73: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Foreign Agricultural
Service

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, No                   No
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             No              No
                              Chief architect exists.                                                           No              No
                              EA being developed using a framework and automated tool.                          No              No
                              EA plans call for describing enterprise in terms of business, data,               No              Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         No              Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              No
Developing architecture       EA products are under configuration management.                                   No              No
products
                              EA products describe or will describe enterprise’s business—and the data, No                      Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                No              Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   No              Yes
Stage 4:                      Written/approved policy exists for information technology investment              No              Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              Yes
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 No              No
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 1         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 74: Maturity Assessment in 2003 (According to Framework Version 1.1): Foreign Agricultural Service

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       No
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           No
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return No
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in        Yes
                          Stage 2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Forest Service                                     The Forest Service provided its 2001 survey responses on August 3, 2001,
                                                   and its 2003 responses on April 21, 2003.



Table 75: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Forest Service

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             Yes
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              No
Developing architecture       EA products are under configuration management.                                   No              Yes
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             No
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 No              No
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 2         Stage 2
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 76: Maturity Assessment in 2003 (According to Framework Version 1.1): Forest Service

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in        Yes
                          Stage 2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Risk Management Agency                             The Risk Management Agency provided its 2001 survey responses on July
                                                   27, 2001, and its 2003 responses on May 6, 2003.



Table 77: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Risk Management
Agency

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, No                   Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             No              No
                              Chief architect exists.                                                           No              Yes
                              EA being developed using a framework and automated tool.                          No              No
                              EA plans call for describing enterprise in terms of business, data,               No              Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         No              Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              No
Developing architecture       EA products are under configuration management.                                   No              No
products
                              EA products describe or will describe enterprise’s business—and the data, No                      Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                No              Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   No              Yes
Stage 4:                      Written/approved policy exists for information technology investment              No              No
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 No              No
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 1         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 78: Maturity Assessment in 2003 (According to Framework Version 1.1): Risk Management Agency

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         No
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage No
                          2.
                          These descriptions address or will address security.                                              No
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       No
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      No
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Service Center                                        The Service Center Modernization Initiative provided its responses on May
Modernization Initiative                              16, 2003.




Table 79: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Service Center
Modernization Initiative

                                                                                                                                      Satisfied?
                                                                                                                                2001       2003
Stage                    Element                                                                                                results    results
Stage 1:                 Agency is aware of EA.                                                                                 —          Yes
Creating EA
awareness
Stage 2:                 Committee or group representing the enterprise is responsible for directing, overseeing, and/or        —          Yes
Building the EA          approving EA.
management               Program office responsible for EA development exists.                                                  —          No
foundation
                         Chief architect exists.                                                                                —          Yes
                         EA being developed using a framework and automated tool.                                               —          Yes
                         EA plans call for describing enterprise in terms of business, data, applications, or technology.       —          Yes
                         EA plans call for describing “as is” environment, “to be” environment, or sequencing plan.             —          Yes
Stage 3:                 Written/approved policy exists for EA development.                                                     —          No
Developing               EA products are under configuration management.                                                        —          No
architecture
products                 EA products describe or will describe enterprise’s business—and the data, applications, and            —          No
                         technology that support it.
                         EA products describe or will describe “as is” environment, “to be” environment, and sequencing         —          No
                         plan.
                         EA scope is enterprise-focused.                                                                        —          No
Stage 4:                 Written/approved policy exists for information technology investment compliance with EA.               —          No
Completing               EA products describe enterprise’s business—and the data, applications, and technology that             —          No
architecture             support it.
products
                         EA products describe “as is” environment, “to be” environment, and sequencing plan.                    —          No
                         Agency chief information officer has approved EA.                                                      —          No
Stage 5:        Written/approved policy exists for EA maintenance.                                                              —          No
Leveraging the  Either EA steering committee, investment review board, or agency head has approved EA.                          —          Yes
EA for managing
change          Metrics exist for measuring EA benefits.                                                                        —          No
Overall                                                                                                                         N/A        Stage 1
maturity stage
Sources: GAO, agency cited.

                                                      Note: Each stage includes all elements of previous stages.




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Table 80: Maturity Assessment in 2003 (According to Framework Version 1.1): Service Center Modernization Initiative

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         No
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          No
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    No
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage No
                          2.
                          These descriptions address or will address security.                                              No
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         Yes
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        Yes
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               Yes
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Department of
Commerce

Bureau of the Census                           The Bureau of the Census provided its 2001 survey responses on June 29,
                                               2001, and its 2003 responses on April 21, 2003.



Table 81: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Bureau of the Census

                                                                                                                 Satisfied?
Stage                     Element                                                                     2001 results    2003 results
Stage 1:                  Agency is aware of EA.                                                      Yes             Yes
Creating EA awareness
Stage 2:                  Committee or group representing the enterprise is responsible for directing, Yes            Yes
Building the EA           overseeing, and/or approving EA.
management foundation     Program office responsible for EA development exists.                       Yes             Yes
                          Chief architect exists.                                                     Yes             Yes
                          EA being developed using a framework and automated tool.                    Yes             Yes
                          EA plans call for describing enterprise in terms of business, data,         Yes             Yes
                          applications, or technology.
                          EA plans call for describing “as is” environment, “to be” environment, or   Yes             Yes
                          sequencing plan.
Stage 3:                  Written/approved policy exists for EA development.                          Yes             Yes
Developing architecture   EA products are under configuration management.                             No              Yes
products
                          EA products describe or will describe enterprise’s business—and the data, Yes               Yes
                          applications, and technology that support it.
                          EA products describe or will describe “as is” environment, “to be”          Yes             Yes
                          environment, and sequencing plan.
                          EA scope is enterprise-focused.                                             Yes             Yes
Stage 4:                  Written/approved policy exists for information technology investment        Yes             No
Completing architecture   compliance with EA.
products                  EA products describe enterprise’s business—and the data, applications,      Yes             No
                          and technology that support it.
                          EA products describe “as is” environment, “to be” environment, and          Yes             No
                          sequencing plan.
                          Agency chief information officer has approved EA.                           Yes             Yes




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(Continued From Previous Page)
                                                                                                                         Satisfied?
Stage                         Element                                                                         2001 results    2003 results
Stage 5:                      Written/approved policy exists for EA maintenance.                              Yes             Yes
Leveraging the EA for         Either EA steering committee, investment review board, or agency head           No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                        Yes             No
Overall maturity stage                                                                                        Stage 2         Stage 3
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Table 82: Maturity Assessment in 2003 (According to Framework Version 1.1): Bureau of the Census

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         Yes
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               Yes
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               Yes
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  Yes




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 3
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Economic Development                                  The Economic Development Administration provided its 2001 survey
Administration                                        responses on July 10, 2001, and its 2003 responses on April 28, 2003.




Table 83: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Economic Development
Administration

                                                                                                                                   Satisfied?
                                                                                                                             2001       2003
Stage                     Element                                                                                            results    results
Stage 1:                  Agency is aware of EA.                                                                             Yes        Yes
Creating EA
awareness
Stage 2:                  Committee or group representing the enterprise is responsible for directing, overseeing,           No         No
Building the EA           and/or approving EA.
management                Program office responsible for EA development exists.                                              Yes        No
foundation
                          Chief architect exists.                                                                            No         Yes
                          EA being developed using a framework and automated tool.                                           Yes        Yes
                          EA plans call for describing enterprise in terms of business, data, applications, or technology. Yes          Yes
                          EA plans call for describing “as is” environment, “to be” environment, or sequencing plan.         Yes        Yes
Stage 3:                  Written/approved policy exists for EA development.                                                 No         No
Developing                EA products are under configuration management.                                                    No         No
architecture
products                  EA products describe or will describe enterprise’s business—and the data, applications, and        Yes        Yes
                          technology that support it.
                          EA products describe or will describe “as is” environment, “to be” environment, and                Yes        Yes
                          sequencing plan.
                          EA scope is enterprise-focused.                                                                    Yes        Yes
Stage 4:                  Written/approved policy exists for information technology investment compliance with EA.           No         No
Completing                EA products describe enterprise’s business—and the data, applications, and technology that         No         No
architecture              support it.
products
                          EA products describe “as is” environment, “to be” environment, and sequencing plan.                No         No
                          Agency chief information officer has approved EA.                                                  No         No
Stage 5:                  Written/approved policy exists for EA maintenance.                                                 No         No
Leveraging the            Either EA steering committee, investment review board, or agency head has approved EA.             No         No
EA for managing
change                    Metrics exist for measuring EA benefits.                                                           No         No
Overall maturity                                                                                                             Stage 1    Stage 1
stage
Sources: GAO, agency cited.

                                                      Note: Each stage includes all elements of previous stages.




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Table 84: Maturity Assessment in 2003 (According to Framework Version 1.1): Economic Development Administration

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       No
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       No
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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International Trade                                      The International Trade Administration provided its 2001 survey responses
Administration                                           on June 26, 2001, and its 2003 responses on April 29, 2003.




Table 85: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): International Trade
Administration

                                                                                                                                      Satisfied?
                                                                                                                                2001        2003
Stage                         Element                                                                                           results     results
Stage 1:                      Agency is aware of EA.                                                                            Yes         Yes
Creating EA
awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, overseeing,          Yes         Yes
Building the EA               and/or approving EA.
management                    Program office responsible for EA development exists.                                             Yes         No
foundation
                              Chief architect exists.                                                                           No          Yes
                              EA being developed using a framework and automated tool.                                          Yes         Yes
                              EA plans call for describing enterprise in terms of business, data, applications, or              Yes         Yes
                              technology.
                              EA plans call for describing “as is” environment, “to be” environment, or sequencing plan.        Yes         Yes
Stage 3:                      Written/approved policy exists for EA development.                                                Yes         No
Developing                    EA products are under configuration management.                                                   Yes         No
architecture
products                      EA products describe or will describe enterprise’s business—and the data, applications, and Yes               Yes
                              technology that support it.
                              EA products describe or will describe “as is” environment, “to be” environment, and               Yes         Yes
                              sequencing plan.
                              EA scope is enterprise-focused.                                                                   No          Yes
Stage 4:                      Written/approved policy exists for information technology investment compliance with EA.          No          No
Completing                    EA products describe enterprise’s business—and the data, applications, and technology             Yes         No
architecture                  that support it.
products
                              EA products describe “as is” environment, “to be” environment, and sequencing plan.               Yes         No
                              Agency chief information officer has approved EA.                                                 Yes         Yes
Stage 5:          Written/approved policy exists for EA maintenance.                                                            Yes         No
Leveraging the EA Either EA steering committee, investment review board, or agency head has approved EA.                        Yes         Yes
for managing
change            Metrics exist for measuring EA benefits.                                                                      No          Yes
Overall maturity                                                                                                                Stage 1     Stage 1
stage
Sources: GAO, agency cited.

                                                         Note: Each stage includes all elements of previous stages.




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Table 86: Maturity Assessment in 2003 (According to Framework Version 1.1): International Trade Administration

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               Yes
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        Yes
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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National Oceanic and                                     The National Oceanic and Atmospheric Administration provided its 2001
Atmospheric Administration                               survey responses on June 29, 2001, and its 2003 responses on April 21, 2003.




Table 87: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): National Oceanic and
Atmospheric Administration

                                                                                                                                        Satisfied?
                                                                                                                                  2001        2003
Stage                         Element                                                                                             results     results
Stage 1:                      Agency is aware of EA.                                                                              Yes         Yes
Creating EA
awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, overseeing, and/or Yes             Yes
Building the EA               approving EA.
management                    Program office responsible for EA development exists.                                               Yes         Yes
foundation
                              Chief architect exists.                                                                             Yes         Yes
                              EA being developed using a framework and automated tool.                                            Yes         Yes
                              EA plans call for describing enterprise in terms of business, data, applications, or technology.    Yes         Yes
                              EA plans call for describing “as is” environment, “to be” environment, or sequencing plan.          Yes         Yes
Stage 3:                      Written/approved policy exists for EA development.                                                  Yes         Yes
Developing                    EA products are under configuration management.                                                     Yes         No
architecture
products                      EA products describe or will describe enterprise’s business—and the data, applications, and         Yes         Yes
                              technology that support it.
                              EA products describe or will describe “as is” environment, “to be” environment, and                 Yes         Yes
                              sequencing plan.
                              EA scope is enterprise-focused.                                                                     Yes         Yes
Stage 4:                      Written/approved policy exists for information technology investment compliance with EA.            Yes         Yes
Completing                    EA products describe enterprise’s business—and the data, applications, and technology that          No          No
architecture                  support it.
products
                              EA products describe “as is” environment, “to be” environment, and sequencing plan.                 No          No
                              Agency chief information officer has approved EA.                                                   Yes         Yes
Stage 5:          Written/approved policy exists for EA maintenance.                                                              Yes         Yes
Leveraging the EA Either EA steering committee, investment review board, or agency head has approved EA.                          Yes         Yes
for managing
change            Metrics exist for measuring EA benefits.                                                                        No          No
Overall maturity                                                                                                                  Stage 3     Stage 2
stage
Sources: GAO, agency cited.

                                                         Note: Each stage includes all elements of previous stages.




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Table 88: Maturity Assessment in 2003 (According to Framework Version 1.1): National Oceanic and Atmospheric
Administration

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         Yes
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               Yes
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               Yes
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        Yes
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  Yes




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 2
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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U.S. Patent and Trademark                          The U.S. Patent and Trademark Office provided its 2001 survey responses
Office                                             on June 29, 2001, and its 2003 responses on April 21, 2003.




Table 89: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): U.S. Patent and
Trademark Office

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             Yes
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                Yes             No
Developing architecture       EA products are under configuration management.                                   Yes             Yes
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             No
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            Yes             No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                Yes             No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 Yes             Yes
Stage 5:                      Written/approved policy exists for EA maintenance.                                Yes             No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          Yes             No
Overall maturity stage                                                                                          Stage 4         Stage 2
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 90: Maturity Assessment in 2003 (According to Framework Version 1.1): U.S. Patent and Trademark Office

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         Yes
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             Yes
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  Yes




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 2
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Department of Defense

Ballistic Missile Defense                      The Ballistic Missile Defense Organization provided its 2001 survey
Organization                                   responses on July 25, 2001, and its 2003 responses on June 10, 2003.




Table 91: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Ballistic Missile
Defense Organization

                                                                                                                 Satisfied?
Stage                     Element                                                                     2001 results    2003 results
Stage 1:                  Agency is aware of EA.                                                      Yes             Yes
Creating EA awareness
Stage 2:                  Committee or group representing the enterprise is responsible for directing, Yes            Yes
Building the EA           overseeing, and/or approving EA.
management foundation     Program office responsible for EA development exists.                       Yes             Yes
                          Chief architect exists.                                                     Yes             Yes
                          EA being developed using a framework and automated tool.                    Yes             Yes
                          EA plans call for describing enterprise in terms of business, data,         Yes             Yes
                          applications, or technology.
                          EA plans call for describing “as is” environment, “to be” environment, or   Yes             Yes
                          sequencing plan.
Stage 3:                  Written/approved policy exists for EA development.                          No              Yes
Developing architecture   EA products are under configuration management.                             No              Yes
products
                          EA products describe or will describe enterprise’s business—and the data, Yes               Yes
                          applications, and technology that support it.
                          EA products describe or will describe “as is” environment, “to be”          Yes             Yes
                          environment, and sequencing plan.
                          EA scope is enterprise-focused.                                             Yes             Yes
Stage 4:                  Written/approved policy exists for information technology investment        No              Yes
Completing architecture   compliance with EA.
products                  EA products describe enterprise’s business—and the data, applications,      No              No
                          and technology that support it.
                          EA products describe “as is” environment, “to be” environment, and          No              No
                          sequencing plan.
                          Agency chief information officer has approved EA.                           No              No




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                                                                                                                         Satisfied?
Stage                         Element                                                                         2001 results    2003 results
Stage 5:                      Written/approved policy exists for EA maintenance.                              No              Yes
Leveraging the EA for         Either EA steering committee, investment review board, or agency head           No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                        No              Yes
Overall maturity stage                                                                                        Stage 2         Stage 3
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Table 92: Maturity Assessment in 2003 (According to Framework Version 1.1): Ballistic Missile Defense Organization

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         Yes
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               Yes
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               Yes
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   Yes
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 3
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Defense Advanced Research                                The Defense Advanced Research Projects Agency provided its 2001 survey
Projects Agency                                          responses on July 25, 2001, and its 2003 responses on April 7, 2003.




Table 93: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Defense Advanced
Research Projects Agency

                                                                                                                                       Satisfied?
                                                                                                                                 2001        2003
Stage                         Element                                                                                            results     results
Stage 1:                      Agency is aware of EA.                                                                             Yes         Yes
Creating EA
awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, overseeing,           No          No
Building the EA               and/or approving EA.
management                    Program office responsible for EA development exists.                                              No          No
foundation
                              Chief architect exists.                                                                            No          No
                              EA being developed using a framework and automated tool.                                           No          No
                              EA plans call for describing enterprise in terms of business, data, applications, or technology. No            No
                              EA plans call for describing “as is” environment, “to be” environment, or sequencing plan.         No          No
Stage 3:                      Written/approved policy exists for EA development.                                                 No          No
Developing                    EA products are under configuration management.                                                    No          No
architecture
products                      EA products describe or will describe enterprise’s business—and the data, applications, and        No          No
                              technology that support it.
                              EA products describe or will describe “as is” environment, “to be” environment, and                No          No
                              sequencing plan.
                              EA scope is enterprise-focused.                                                                    No          No
Stage 4:                      Written/approved policy exists for information technology investment compliance with EA.           No          No
Completing                    EA products describe enterprise’s business—and the data, applications, and technology that         No          No
architecture                  support it.
products
                              EA products describe “as is” environment, “to be” environment, and sequencing plan.                No          No
                              Agency chief information officer has approved EA.                                                  No          No
Stage 5:                      Written/approved policy exists for EA maintenance.                                                 No          No
Leveraging the                Either EA steering committee, investment review board, or agency head has approved EA.             No          No
EA for managing
change                        Metrics exist for measuring EA benefits.                                                           No          No
Overall maturity                                                                                                                 Stage 1     Stage 1
stage
Sources: GAO, agency cited.

                                                         Note: Each stage includes all elements of previous stages.




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Table 94: Maturity Assessment in 2003 (According to Framework Version 1.1): Defense Advanced Research Projects Agency

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         No
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       No
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           No
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a No
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          No
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    No
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return No
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         No
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage No
                          2.
                          These descriptions address or will address security.                                              No
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       No
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      No
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Defense Commissary                                 The Defense Commissary Agency provided its 2001 survey responses on
Agency                                             July 25, 2001, and its 2003 responses on June 9, 2003.




Table 95: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Defense Commissary
Agency

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             No
                              Chief architect exists.                                                           No              Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              No
Developing architecture       EA products are under configuration management.                                   No              Yes
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              No              Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              Yes
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              Yes
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 Yes             Yes
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             Yes             Yes
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 1         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 96: Maturity Assessment in 2003 (According to Framework Version 1.1): Defense Commissary Agency

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         No
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         Yes
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    Yes
                          These descriptions address security.                                                              Yes
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        Yes
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Defense Contract Audit                             The Defense Contract Audit Agency provided its 2001 survey responses on
Agency                                             July 25, 2001, and its 2003 responses on May 30, 2003.




Table 97: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Defense Contract Audit
Agency

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             No
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                Yes             Yes
Developing architecture       EA products are under configuration management.                                   No              Yes
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            Yes             No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                Yes             No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 Yes             Yes
Stage 5:                      Written/approved policy exists for EA maintenance.                                Yes             Yes
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             Yes             No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          Yes             No
Overall maturity stage                                                                                          Stage 2         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 98: Maturity Assessment in 2003 (According to Framework Version 1.1): Defense Contract Audit Agency

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               Yes
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in        Yes
                          Stage 2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               Yes
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       No
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Defense Contract                                   The Defense Contract Management Agency provided its 2001 survey
Management Agency                                  responses on July 3, 2001, and its 2003 responses on May 30, 2003.




Table 99: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Defense Contract
Management Agency

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             No
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              Yes
Developing architecture       EA products are under configuration management.                                   Yes             Yes
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 Yes             Yes
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              Yes
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             Yes             Yes
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          Yes             No
Overall maturity stage                                                                                          Stage 2         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 100: Maturity Assessment in 2003 (According to Framework Version 1.1): Defense Contract Management Agency

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return No
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               Yes
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in        Yes
                          Stage 2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               Yes
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         Yes
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        Yes
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               Yes
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Defense Information                                The Defense Information Systems Agency provided its 2001 survey
Systems Agency                                     responses on July 11, 2001, and its 2003 responses on June 10, 2003.




Table 101: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Defense Information
Systems Agency

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             Yes
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          No              Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              Yes
Developing architecture       EA products are under configuration management.                                   No              Yes
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              No              Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 No              No
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              Yes
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          Yes             No
Overall maturity stage                                                                                          Stage 1         Stage 3
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 102: Maturity Assessment in 2003 (According to Framework Version 1.1): Defense Information Systems Agency

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         No
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               Yes
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               Yes
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        Yes
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Defense Intelligence Agency                        The Defense Intelligence Agency provided its 2001 survey responses on
                                                   July 25, 2001, and its 2003 responses on June 20, 2003.




Table 103: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Defense Intelligence
Agency

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             Yes
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                Yes             Yes
Developing architecture       EA products are under configuration management.                                   No              Yes
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 Yes             Yes
Stage 5:                      Written/approved policy exists for EA maintenance.                                Yes             Yes
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             Yes             Yes
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 2         Stage 3
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 104: Maturity Assessment in 2003 (According to Framework Version 1.1): Defense Intelligence Agency

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               Yes
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               Yes
Completing architecture   EA products and management processes undergo independent verification and validation.             Yes
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         Yes
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              Yes
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        Yes
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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                                                 Management Maturity Framework




(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               Yes
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Defense Logistics Agency                           The Defense Logistics Agency provided its 2001 survey responses on July
                                                   25, 2001, and its 2003 responses on May 22, 2003.



Table 105: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Defense Logistics
Agency

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             No              Yes
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              Yes
Developing architecture       EA products are under configuration management.                                   Yes             Yes
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 No              No
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              Yes
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 1         Stage 3
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 106: Maturity Assessment in 2003 (According to Framework Version 1.1): Defense Logistics Agency

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         No
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               Yes
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in        Yes
                          Stage 2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               Yes
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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                                                 Component Responses against Our EA
                                                 Management Maturity Framework




(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Defense Security                                   The Defense Security Cooperation Agency provided its 2001 survey
Cooperation Agency                                 responses on July 25, 2001, and its 2003 responses on June 19, 2003.




Table 107: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Defense Security
Cooperation Agency

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, No                   No
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             No              No
                              Chief architect exists.                                                           No              Yes
                              EA being developed using a framework and automated tool.                          No              Yes
                              EA plans call for describing enterprise in terms of business, data,               No              Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         No              Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              No
Developing architecture       EA products are under configuration management.                                   No              No
products
                              EA products describe or will describe enterprise’s business—and the data, No                      No
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                No              No
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   No              Yes
Stage 4:                      Written/approved policy exists for information technology investment              No              No
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 No              No
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 1         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 108: Maturity Assessment in 2003 (According to Framework Version 1.1): Defense Security Cooperation Agency

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         No
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       No
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          No
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    No
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return No
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage No
                          2.
                          These descriptions address or will address security.                                              No
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       No
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      No
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Defense Security Service                           The Defense Security Service provided its 2001 survey responses on July
                                                   25, 2001, and its 2003 responses on June 9, 2003.



Table 109: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Defense Security
Service

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             No
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              No
Developing architecture       EA products are under configuration management.                                   No              No
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              No              No
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 No              No
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 2         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 110: Maturity Assessment in 2003 (According to Framework Version 1.1): Defense Security Service

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         No
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       No
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      No
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Defense Threat Reduction                           The Defense Threat Reduction Agency provided its 2001 survey responses
Agency                                             on July 25, 2001, and its 2003 responses on May 29, 2003.




Table 111: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Defense Threat
Reduction Agency

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             Yes
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              No
Developing architecture       EA products are under configuration management.                                   No              Yes
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              No              No
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 No              No
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 2         Stage 2
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 112: Maturity Assessment in 2003 (According to Framework Version 1.1): Defense Threat Reduction Agency

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         Yes
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    No
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              No
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             Yes
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       No
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      No
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Department of the Air Force                        The Department of the Air Force provided its 2001 survey responses on
                                                   July 27, 2001, and its 2003 responses on June 2, 2003.



Table 113: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Department of the Air
Force

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             Yes
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                Yes             Yes
Developing architecture       EA products are under configuration management.                                   Yes             Yes
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 Yes             No
Stage 5:                      Written/approved policy exists for EA maintenance.                                Yes             Yes
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             Yes             No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 3         Stage 3
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 114: Maturity Assessment in 2003 (According to Framework Version 1.1): Department of the Air Force

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         Yes
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               Yes
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               Yes
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  Yes




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(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 3
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Department of the Army                             The Department of the Army provided its 2001 survey responses on July 25,
                                                   2001, and its 2003 responses on June 2, 2003.



Table 115: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Department of the
Army

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             Yes
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                Yes             Yes
Developing architecture       EA products are under configuration management.                                   Yes             Yes
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            Yes             No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                Yes             No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 Yes             Yes
Stage 5:                      Written/approved policy exists for EA maintenance.                                Yes             Yes
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             Yes             Yes
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 4         Stage 3
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 116: Maturity Assessment in 2003 (According to Framework Version 1.1): Department of the Army

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         No
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               Yes
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               Yes
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        Yes
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               Yes
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Department of the Navy                             The Department of the Navy provided its 2001 survey responses on July 25,
                                                   2001, and its 2003 responses on June 9, 2003.



Table 117: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Department of the
Navy

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             Yes
                              Chief architect exists.                                                           Yes             No
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              Yes
Developing architecture       EA products are under configuration management.                                   No              No
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             No
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 No              No
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 2         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 118: Maturity Assessment in 2003 (According to Framework Version 1.1): Department of the Navy

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           No
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               Yes
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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National Imagery and                               The National Imagery and Mapping Agency provided its 2001 survey
Mapping Agency                                     responses on July 25, 2001, and its 2003 responses on June 6, 2003.




Table 119: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): National Imagery and
Mapping Agency

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             Yes
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              No
Developing architecture       EA products are under configuration management.                                   No              No
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 No              No
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 2         Stage 2
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 120: Maturity Assessment in 2003 (According to Framework Version 1.1): National Imagery and Mapping Agency

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         No
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      No
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Department of Health
and Human Services

Administration for Children                    The Administration for Children and Families provided its 2001 survey
and Families                                   responses on June 29, 2001, and its 2003 responses on May 12, 2003.




Table 121: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Administration for
Children and Families

                                                                                                                 Satisfied?
Stage                     Element                                                                     2001 results    2003 results
Stage 1:                  Agency is aware of EA.                                                      Yes             Yes
Creating EA awareness
Stage 2:                  Committee or group representing the enterprise is responsible for directing, Yes            Yes
Building the EA           overseeing, and/or approving EA.
management foundation     Program office responsible for EA development exists.                       Yes             No
                          Chief architect exists.                                                     No              No
                          EA being developed using a framework and automated tool.                    Yes             Yes
                          EA plans call for describing enterprise in terms of business, data,         Yes             Yes
                          applications, or technology.
                          EA plans call for describing “as is” environment, “to be” environment, or   Yes             Yes
                          sequencing plan.
Stage 3:                  Written/approved policy exists for EA development.                          No              No
Developing architecture   EA products are under configuration management.                             No              No
products
                          EA products describe or will describe enterprise’s business—and the data, Yes               Yes
                          applications, and technology that support it.
                          EA products describe or will describe “as is” environment, “to be”          Yes             Yes
                          environment, and sequencing plan.
                          EA scope is enterprise-focused.                                             Yes             Yes
Stage 4:                  Written/approved policy exists for information technology investment        No              No
Completing architecture   compliance with EA.
products                  EA products describe enterprise’s business—and the data, applications,      No              No
                          and technology that support it.
                          EA products describe “as is” environment, “to be” environment, and          No              No
                          sequencing plan.
                          Agency chief information officer has approved EA.                           No              No




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(Continued From Previous Page)
                                                                                                                         Satisfied?
Stage                         Element                                                                         2001 results    2003 results
Stage 5:                      Written/approved policy exists for EA maintenance.                              No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head           No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                        No              No
Overall maturity stage                                                                                        Stage 1         Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Table 122: Maturity Assessment in 2003 (According to Framework Version 1.1): Administration for Children and Families

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         No
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           No
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       No
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      No
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Agency for Healthcare                              The Agency for Healthcare Research and Quality provided its 2001 survey
Research and Quality                               responses on July 12, 2001, and its 2003 responses on May 12, 2003.




Table 123: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Agency for Healthcare
Research and Quality

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, No                   No
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             No              No
                              Chief architect exists.                                                           No              Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              No
Developing architecture       EA products are under configuration management.                                   No              No
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              No              No
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 No              No
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 1         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 124: Maturity Assessment in 2003 (According to Framework Version 1.1): Agency for Healthcare Research and Quality

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         No
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       No
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         Yes
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       No
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      No
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Centers for Disease Control                        The Centers for Disease Control and Prevention provided its 2001 survey
and Prevention                                     responses on July 23, 2001, and its 2003 responses on May 12, 2003.




Table 125: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Centers for Disease
Control and Prevention

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             Yes
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                Yes             No
Developing architecture       EA products are under configuration management.                                   Yes             No
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 Yes             No
Stage 5:                      Written/approved policy exists for EA maintenance.                                Yes             No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             Yes             No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 3         Stage 2
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 126: Maturity Assessment in 2003 (According to Framework Version 1.1): Centers for Disease Control and Prevention

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         No
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Centers for Medicare and                           The Centers for Medicare and Medicaid Services provided its 2001 survey
Medicaid Services                                  responses on June 29, 2001, and its 2003 responses on May 12, 2003.




Table 127: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Centers for Medicare
and Medicaid Services

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             Yes
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              No
Developing architecture       EA products are under configuration management.                                   Yes             Yes
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            Yes             No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 Yes             Yes
Stage 5:                      Written/approved policy exists for EA maintenance.                                Yes             No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              Yes
Overall maturity stage                                                                                          Stage 2         Stage 2
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 128: Maturity Assessment in 2003 (According to Framework Version 1.1): Centers for Medicare and Medicaid Services

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         No
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        Yes
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Food and Drug                                      The Food and Drug Administration provided its 2001 survey responses on
Administration                                     July 13, 2001, and its 2003 responses on May 12, 2003.




Table 129: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Food and Drug
Administration

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             No
                              Chief architect exists.                                                           No              Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                Yes             No
Developing architecture       EA products are under configuration management.                                   No              Yes
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             No
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                Yes             No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 Yes             No
Stage 5:                      Written/approved policy exists for EA maintenance.                                Yes             No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             Yes             No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 1         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 130: Maturity Assessment in 2003 (According to Framework Version 1.1): Food and Drug Administration

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         Yes
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             Yes
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       No
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Health Resources and                                    The Health Resources and Services Administration provided its 2001
Services Administration                                 survey responses on June 29, 2001, and its 2003 responses on May 12, 2003.




Table 131: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Health Resources and
Services Administration

                                                                                                                                       Satisfied?
                                                                                                                                 2001        2003
Stage                         Element                                                                                            results     results
Stage 1:                      Agency is aware of EA.                                                                             Yes         Yes
Creating EA
awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, overseeing, and/or No             Yes
Building the EA               approving EA.
management                    Program office responsible for EA development exists.                                              Yes         No
foundation
                              Chief architect exists.                                                                            Yes         Yes
                              EA being developed using a framework and automated tool.                                           Yes         Yes
                              EA plans call for describing enterprise in terms of business, data, applications, or technology.   Yes         Yes
                              EA plans call for describing “as is” environment, “to be” environment, or sequencing plan.         Yes         Yes
Stage 3:                      Written/approved policy exists for EA development.                                                 No          No
Developing                    EA products are under configuration management.                                                    Yes         No
architecture
products                      EA products describe or will describe enterprise’s business—and the data, applications, and        Yes         Yes
                              technology that support it.
                              EA products describe or will describe “as is” environment, “to be” environment, and                Yes         Yes
                              sequencing plan.
                              EA scope is enterprise-focused.                                                                    Yes         Yes
Stage 4:                      Written/approved policy exists for information technology investment compliance with EA.           Yes         Yes
Completing                    EA products describe enterprise’s business—and the data, applications, and technology that         Yes         No
architecture                  support it.
products
                              EA products describe “as is” environment, “to be” environment, and sequencing plan.                No          No
                              Agency chief information officer has approved EA.                                                  Yes         Yes
Stage 5:                      Written/approved policy exists for EA maintenance.                                                 No          No
Leveraging the EA             Either EA steering committee, investment review board, or agency head has approved EA.             Yes         Yes
for managing
change                        Metrics exist for measuring EA benefits.                                                           No          No
Overall maturity                                                                                                                 Stage 1     Stage 1
stage
Sources: GAO, agency cited.

                                                        Note: Each stage includes all elements of previous stages.




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Table 132: Maturity Assessment in 2003 (According to Framework Version 1.1): Health Resources and Services Administration

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        Yes
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Indian Health Service                              The Indian Health Service provided its 2001 survey responses on June 29,
                                                   2001, and its 2003 responses on May 12, 2003.



Table 133: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Indian Health Service

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             No
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              No
Developing architecture       EA products are under configuration management.                                   Yes             No
products
                              EA products describe or will describe enterprise’s business—and the data, No                      No
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             No
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             No
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                Yes             No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 Yes             No
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             Yes             No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 2         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 134: Maturity Assessment in 2003 (According to Framework Version 1.1): Indian Health Service

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a No
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          No
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    No
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return No
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         No
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage No
                          2.
                          These descriptions address or will address security.                                              No
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Program Support Center                             The Program Support Center provided its 2001 survey responses on June
                                                   29, 2001, and its 2003 responses on May 12, 2003.



Table 135: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Program Support
Center

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, No                   Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             No              No
                              Chief architect exists.                                                           No              No
                              EA being developed using a framework and automated tool.                          No              Yes
                              EA plans call for describing enterprise in terms of business, data,               No              Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         No              Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              No
Developing architecture       EA products are under configuration management.                                   No              No
products
                              EA products describe or will describe enterprise’s business—and the data, No                      Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                No              Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   No              No
Stage 4:                      Written/approved policy exists for information technology investment              No              No
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 No              No
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 1         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 136: Maturity Assessment in 2003 (According to Framework Version 1.1): Program Support Center

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         No
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           No
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return No
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         No
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage No
                          2.
                          These descriptions address or will address security.                                              No
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       No
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      No
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Department of Justice

Bureau of Alcohol, Tobacco,                    The Bureau of Alcohol, Tobacco, Firearms and Explosives provided its
Firearms and Explosives                        2001 survey responses on July 16, 2001, and its 2003 responses on April 21,
                                               2003.



Table 137: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Bureau of Alcohol,
Tobacco, Firearms and Explosives

                                                                                                                 Satisfied?
Stage                     Element                                                                     2001 results    2003 results
Stage 1:                  Agency is aware of EA.                                                      Yes             Yes
Creating EA awareness
Stage 2:                  Committee or group representing the enterprise is responsible for directing, Yes            Yes
Building the EA           overseeing, and/or approving EA.
management foundation     Program office responsible for EA development exists.                       Yes             Yes
                          Chief architect exists.                                                     Yes             Yes
                          EA being developed using a framework and automated tool.                    Yes             Yes
                          EA plans call for describing enterprise in terms of business, data,         Yes             Yes
                          applications, or technology.
                          EA plans call for describing “as is” environment, “to be” environment, or   Yes             Yes
                          sequencing plan.
Stage 3:                  Written/approved policy exists for EA development.                          No              Yes
Developing architecture   EA products are under configuration management.                             No              Yes
products
                          EA products describe or will describe enterprise’s business—and the data, Yes               Yes
                          applications, and technology that support it.
                          EA products describe or will describe “as is” environment, “to be”          Yes             Yes
                          environment, and sequencing plan.
                          EA scope is enterprise-focused.                                             Yes             Yes
Stage 4:                  Written/approved policy exists for information technology investment        Yes             Yes
Completing architecture   compliance with EA.
products                  EA products describe enterprise’s business—and the data, applications,      Yes             Yes
                          and technology that support it.
                          EA products describe “as is” environment, “to be” environment, and          No              Yes
                          sequencing plan.
                          Agency chief information officer has approved EA.                           No              Yes




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                                                                                                                         Satisfied?
Stage                         Element                                                                         2001 results    2003 results
Stage 5:                      Written/approved policy exists for EA maintenance.                              No              Yes
Leveraging the EA for         Either EA steering committee, investment review board, or agency head           No              Yes
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                        No              No
Overall maturity stage                                                                                        Stage 2         Stage 4
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Table 138: Maturity Assessment in 2003 (According to Framework Version 1.1): Bureau of Alcohol, Tobacco, Firearms and
Explosives

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         Yes
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               Yes
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               Yes
Completing architecture   EA products and management processes undergo independent verification and validation.             Yes
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         Yes
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    Yes
                          These descriptions address security.                                                              Yes
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        Yes
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 2
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Drug Enforcement                                   The Drug Enforcement Administration provided its 2001 survey responses
Administration                                     on July 18, 2001, and its 2003 responses on May 20, 2003.




Table 139: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Drug Enforcement
Administration

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             Yes
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                Yes             No
Developing architecture       EA products are under configuration management.                                   Yes             No
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   No              Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 No              Yes
Stage 5:                      Written/approved policy exists for EA maintenance.                                Yes             No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              Yes
Overall maturity stage                                                                                          Stage 2         Stage 2
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 140: Maturity Assessment in 2003 (According to Framework Version 1.1): Drug Enforcement Administration

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        Yes
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        Yes
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Federal Bureau of                                  The Federal Bureau of Investigation provided its 2001 survey responses on
Investigation                                      July 18, 2001, and its 2003 responses on May 28, 2003.




Table 141: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Federal Bureau of
Investigation

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, No                   No
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             No
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             No
                              EA plans call for describing enterprise in terms of business, data,               Yes             No
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             No
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              No
Developing architecture       EA products are under configuration management.                                   Yes             No
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     No
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             No
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   No              Yes
Stage 4:                      Written/approved policy exists for information technology investment              Yes             No
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 No              No
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          Yes             No
Overall maturity stage                                                                                          Stage 1         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 142: Maturity Assessment in 2003 (According to Framework Version 1.1): Federal Bureau of Investigation

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         No
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       No
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a No
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          No
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    No
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return No
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         No
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage No
                          2.
                          These descriptions address or will address security.                                              No
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       No
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      No
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Federal Bureau of Prisons                          The Federal Bureau of Prisons provided its 2001 survey responses on July
                                                   18, 2001, and its 2003 responses on May 22, 2003.



Table 143: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Federal Bureau of
Prisons

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             No
                              Chief architect exists.                                                           Yes             No
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                Yes             No
Developing architecture       EA products are under configuration management.                                   No              No
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              No              Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            Yes             Yes
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                Yes             Yes
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 Yes             Yes
Stage 5:                      Written/approved policy exists for EA maintenance.                                Yes             No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             Yes             Yes
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 2         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 144: Maturity Assessment in 2003 (According to Framework Version 1.1): Federal Bureau of Prisons

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           No
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return No
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         Yes
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    Yes
                          These descriptions address security.                                                              Yes
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        Yes
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               Yes
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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U.S. Marshals Service                              The U.S. Marshals Service provided its 2001 survey responses on June 29,
                                                   2001, and its 2003 responses on May 19, 2003.



Table 145: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): U.S. Marshals Service

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, No                   No
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             No              No
                              Chief architect exists.                                                           No              No
                              EA being developed using a framework and automated tool.                          No              No
                              EA plans call for describing enterprise in terms of business, data,               No              No
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         No              No
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              No
Developing architecture       EA products are under configuration management.                                   No              No
products
                              EA products describe or will describe enterprise’s business—and the data, No                      No
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                No              No
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   No              No
Stage 4:                      Written/approved policy exists for information technology investment              No              No
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 No              No
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 1         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 146: Maturity Assessment in 2003 (According to Framework Version 1.1): U.S. Marshals Service

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         No
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       No
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           No
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a No
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          No
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    No
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return No
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         No
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage No
                          2.
                          These descriptions address or will address security.                                              No
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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(Continued From Previous Page)
Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       No
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      No
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Department of
Transportation

Federal Aviation                               The Federal Aviation Administration provided its 2001 survey responses on
Administration                                 June 29, 2001, and its 2003 responses on April 29, 2003.




Table 147: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Federal Aviation
Administration

                                                                                                                 Satisfied?
Stage                     Element                                                                     2001 results    2003 results
Stage 1:                  Agency is aware of EA.                                                      Yes             Yes
Creating EA awareness
Stage 2:                  Committee or group representing the enterprise is responsible for directing, Yes            Yes
Building the EA           overseeing, and/or approving EA.
management foundation     Program office responsible for EA development exists.                       Yes             Yes
                          Chief architect exists.                                                     Yes             Yes
                          EA being developed using a framework and automated tool.                    Yes             Yes
                          EA plans call for describing enterprise in terms of business, data,         Yes             Yes
                          applications, or technology.
                          EA plans call for describing “as is” environment, “to be” environment, or   Yes             Yes
                          sequencing plan.
Stage 3:                  Written/approved policy exists for EA development.                          Yes             No
Developing architecture   EA products are under configuration management.                             Yes             Yes
products
                          EA products describe or will describe enterprise’s business—and the data, Yes               Yes
                          applications, and technology that support it.
                          EA products describe or will describe “as is” environment, “to be”          Yes             Yes
                          environment, and sequencing plan.
                          EA scope is enterprise-focused.                                             Yes             Yes
Stage 4:                  Written/approved policy exists for information technology investment        Yes             No
Completing architecture   compliance with EA.
products                  EA products describe enterprise’s business—and the data, applications,      No              No
                          and technology that support it.
                          EA products describe “as is” environment, “to be” environment, and          Yes             No
                          sequencing plan.
                          Agency chief information officer has approved EA.                           Yes             Yes




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                                                                                                                         Satisfied?
Stage                         Element                                                                         2001 results    2003 results
Stage 5:                      Written/approved policy exists for EA maintenance.                              Yes             No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head           Yes             Yes
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                        Yes             No
Overall maturity stage                                                                                        Stage 3         Stage 2
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Table 148: Maturity Assessment in 2003 (According to Framework Version 1.1): Federal Aviation Administration

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         No
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             Yes
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        Yes
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               No
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               Yes
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               Yes
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Federal Highway                                    The Federal Highway Administration provided its 2001 survey responses on
Administration                                     June 29, 2001, and its 2003 responses on April 1, 2003.




Table 149: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Federal Highway
Administration

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, No                   Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             No              Yes
                              Chief architect exists.                                                           No              No
                              EA being developed using a framework and automated tool.                          No              Yes
                              EA plans call for describing enterprise in terms of business, data,               No              Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         No              Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              No
Developing architecture       EA products are under configuration management.                                   No              No
products
                              EA products describe or will describe enterprise’s business—and the data, No                      Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                No              Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   No              Yes
Stage 4:                      Written/approved policy exists for information technology investment              No              Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 No              Yes
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 1         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 150: Maturity Assessment in 2003 (According to Framework Version 1.1): Federal Highway Administration

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             Yes
                          Chief architect exists.                                                                           No
                          EA is being developed using a framework, methodology, and automated tool.                         No
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               Yes
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              Yes
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        Yes
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Federal Motor Carrier                              The Federal Motor Carrier Safety Administration provided its 2001 survey
Safety Administration                              responses on June 29, 2001, and its 2003 responses on April 24, 2003.




Table 151: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Federal Motor Carrier
Safety Administration

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, Yes                  No
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             Yes             No
                              Chief architect exists.                                                           Yes             Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              Yes
Developing architecture       EA products are under configuration management.                                   No              No
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             No
Stage 4:                      Written/approved policy exists for information technology investment              No              Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            No              Yes
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                No              Yes
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 No              No
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              Yes
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 2         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 152: Maturity Assessment in 2003 (According to Framework Version 1.1): Federal Motor Carrier Safety Administration

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       No
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         Yes
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    No
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return No
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               Yes
Developing architecture   EA products are under configuration management.                                                   No
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              No
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               Yes
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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Stage                         Element                                                                                             Satisfied?
Stage 5:                      Written and approved organization policy exists for IT investment compliance with EA.               Yes
Leveraging the EA for         Process exists to formally manage EA change.                                                        No
managing change
                              EA is integral component of IT investment management process.                                       Yes
                              EA products are periodically updated.                                                               No
                              IT investments comply with EA.                                                                      Yes
                              Organization head has approved current version of EA.                                               No
                              Return on EA investment is measured and reported.                                                   No
                              Compliance with EA is measured and reported.                                                        No
Overall maturity stage                                                                                                            Stage 1
Sources: GAO, agency cited.

                                                 Note: Each stage includes all elements of previous stages.




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Federal Railroad                                   The Federal Railroad Administration provided its 2001 survey responses on
Administration                                     June 29, 2001, and its 2003 responses on April 24, 2003.




Table 153: Comparison of Maturity Assessments in 2001 and 2003 (According to Framework Version 1.0): Federal Railroad
Administration

                                                                                                                           Satisfied?
Stage                         Element                                                                           2001 results    2003 results
Stage 1:                      Agency is aware of EA.                                                            Yes             Yes
Creating EA awareness
Stage 2:                      Committee or group representing the enterprise is responsible for directing, No                   Yes
Building the EA               overseeing, and/or approving EA.
management foundation         Program office responsible for EA development exists.                             No              No
                              Chief architect exists.                                                           No              Yes
                              EA being developed using a framework and automated tool.                          Yes             Yes
                              EA plans call for describing enterprise in terms of business, data,               Yes             Yes
                              applications, or technology.
                              EA plans call for describing “as is” environment, “to be” environment, or         Yes             Yes
                              sequencing plan.
Stage 3:                      Written/approved policy exists for EA development.                                No              No
Developing architecture       EA products are under configuration management.                                   No              Yes
products
                              EA products describe or will describe enterprise’s business—and the data, Yes                     Yes
                              applications, and technology that support it.
                              EA products describe or will describe “as is” environment, “to be”                Yes             Yes
                              environment, and sequencing plan.
                              EA scope is enterprise-focused.                                                   Yes             Yes
Stage 4:                      Written/approved policy exists for information technology investment              No              Yes
Completing architecture       compliance with EA.
products                      EA products describe enterprise’s business—and the data, applications,            Yes             No
                              and technology that support it.
                              EA products describe “as is” environment, “to be” environment, and                Yes             No
                              sequencing plan.
                              Agency chief information officer has approved EA.                                 Yes             No
Stage 5:                      Written/approved policy exists for EA maintenance.                                No              No
Leveraging the EA for         Either EA steering committee, investment review board, or agency head             No              No
managing change               has approved EA.
                              Metrics exist for measuring EA benefits.                                          No              No
Overall maturity stage                                                                                          Stage 1         Stage 1
Sources: GAO, agency cited.

                                                   Note: Each stage includes all elements of previous stages.




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Table 154: Maturity Assessment in 2003 (According to Framework Version 1.1): Federal Railroad Administration

Stage                     Element                                                                                           Satisfied?
Stage 1:                  —                                                                                                 Yes
Creating EA awareness
Stage 2:                  Adequate resources exist.                                                                         Yes
Building the EA           Committee or group representing the enterprise is responsible for directing, overseeing, or       Yes
management foundation     approving EA.
                          Program office responsible for EA development and maintenance exists.                             No
                          Chief architect exists.                                                                           Yes
                          EA is being developed using a framework, methodology, and automated tool.                         Yes
                          EA plans call for describing both “as-is” and “to-be” environments of the enterprise, as well as a Yes
                          sequencing plan for transitioning from the “as-is” to the “to-be.”
                          EA plans call for describing both “as-is” and “to-be” environments in terms of business,          Yes
                          performance, information/data, application/service, and technology.
                          EA plans call for business, performance, information/data, application/service, and technology    Yes
                          descriptions to address security.
                          EA plans call for developing metrics for measuring EA progress, quality, compliance, and return Yes
                          on investment.
Stage 3:                  Written and approved organization policy exists for EA development.                               No
Developing architecture   EA products are under configuration management.                                                   Yes
products
                          EA products describe or will describe both “as-is” and “to-be” environments, as well as a         Yes
                          sequencing plan.
                          Both “as-is” and “to-be” environments are described or will be described in terms given in Stage Yes
                          2.
                          These descriptions address or will address security.                                              Yes
                          Progress against EA plans is measured and reported.                                               No
Stage 4:                  Written and approved organization policy exists for EA maintenance.                               No
Completing architecture   EA products and management processes undergo independent verification and validation.             No
products
                          EA products describe both “as-is” and “to-be” environments, as well as a sequencing plan.         No
                          Both “as-is” and “to-be” environments are described in terms given in Stage 2.                    No
                          These descriptions address security.                                                              No
                          Organization CIO has approved current version of EA.                                              No
                          Committee or group representing the enterprise or the investment review board has approved        No
                          current version of EA.
                          Quality of EA products is measured and reported.                                                  No




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