Department of Homeland Security 2IÀFH RI … of Homeland Security ... Attached for your information is our final report, U.S ... Information Management System 3 CLAIMS 4 Computer

Department of Homeland Security

2IFHRI,QVSHFWRU*HQHUDO

U.S. Citizenship and Immigration Services

Information Technology Management

Progress and Challenges

OIG-14-112 July 2014

OFFICE OF INSPECTOR GENERAL Department of Homeland Security

Washington, DC 20528 / www.oig.dhs.gov

July3,2014 MEMORANDUMFOR: MarkSchwartz

ChiefInformationOfficer

RichardHarsche

U.S.CitizenshipandImmigrationServices FROM:

ActingAssistantInspectorGeneral OfficeofInformationTechnologyAudits

SUBJECT: U.S.CitizenshipandImmigrationServicesInformation

TechnologyManagementProgressandChallenges Attachedforyourinformationisourfinalreport,U.S.CitizenshipandImmigration ServicesInformationTechnologyManagementProgressandChallenges.We incorporatedtheformalcommentsfromtheU.S.CitizenshipandImmigrationServices (USCIS)inthefinalreport. ThereportcontainsfourrecommendationsaimedatimprovingUSCISinformation technologymanagement.Yourofficeconcurredwiththerecommendations.As prescribedbytheDepartmentofHomelandSecurityDirective07701,FollowUpand ResolutionsforOfficeofInspectorGeneralReportRecommendations,within90daysof thedateofthismemorandum,pleaseprovideourofficewithawrittenresponsethat includesyour(1)correctiveactionplanand(2)targetcompletiondateforeach recommendation.Also,pleaseincluderesponsiblepartiesandanyothersupporting documentationnecessarytoinformusaboutthecurrentstatusoftherecommendation. Onceyourofficehasfullyimplementedtherecommendations,pleasesubmitaformal closeoutrequesttouswithin30dayssothatwemayclosetherecommendations.The requestshouldbeaccompaniedbyevidenceofcompletionofagreeduponcorrective actions. PleaseemailasignedPDFcopyofallresponsesandcloseoutrequeststo OIGITAuditsFollowup@oig.dhs.gov.Untilyourresponseisreceivedandevaluated,the recommendationswillbeconsideredopenandunresolved. ConsistentwithourresponsibilityundertheInspectorGeneralAct,wewillprovide copiesofourreporttoappropriatecongressionalcommitteeswithoversightand

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appropriationresponsibilityovertheDepartmentofHomelandSecurity.Wewillpost thereportonourwebsiteforpublicdissemination.

Pleasecallmewithanyquestions,oryourstaffmaycontactElizabethArgeris,Audit Manager,at(202)6320223. Attachment

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TableofContents ExecutiveSummary............................................................................................................. 1 Background........................................................................................................................ 2 ResultsofAudit................................................................................................................... 4

ITManagementCapabilitiesEstablished................................................................4 Recommendations............................................................................................... 15 ManagementCommentsandOIGAnalysis.........................................................15 SupportofMissionNeeds.....................................................................................16 Recommendations............................................................................................... 22 ManagementCommentsandOIGAnalysis.........................................................22

Appendixes

AppendixA:Objectives,Scope,andMethodology.............................................24 AppendixB:ManagementCommentstotheDraftReport................................26 AppendixC:MajorContributorstoThisReport.................................................29 AppendixD:ReportDistribution.........................................................................30

Abbreviations ADIS ArrivalandDepartureInformationSystem CARB ComponentAcquisitionReviewBoard CIO ChiefInformationOfficer CIVSIT CustomerIdentityVerificationSecondaryInspectionTool CLAIMS3 ComputerLinkedApplicationInformationManagementSystem3 CLAIMS4 ComputerLinkedApplicationInformationManagementSystem4 DHS DepartmentofHomelandSecurity EDMS EnterpriseDocumentManagementSystem ELIS ElectronicImmigrationSystem EPMO EnterpriseProgramManagementOffice FY fiscalyear GAO GovernmentAccountabilityOffice IT informationtechnology ITAR informationtechnologyacquisitionreview MD ManagementDirective

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OCIO OfficeoftheChiefInformationOfficer OIG OfficeofInspectorGeneral OIT OfficeofInformationTechnology OMB OfficeofManagementandBudget SELC systemsengineeringlifecycle USCIS UnitedStatesCitizenshipandImmigrationServices VAWA ViolenceAgainstWomenActof1994

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ExecutiveSummary InformationtechnologyplaysacriticalroleinenablingU.S.CitizenshipandImmigration Services(USCIS)toaccomplishitsmission.In2009,wereportedthatinsufficient informationtechnologystaffingandlimitedinformationtechnologybudgetauthority impededtheChiefInformationOfficer.Weconductedthisfollowupaudittodetermine USCISprogressinestablishingkeyinformationtechnologymanagementcapabilitiesto supportmissionneeds. TheUSCISChiefInformationOfficerhasestablishedkeyinformationtechnology managementcapabilitiestosupportUSCISmission.Specifically,theChiefInformation Officer: x createdadraftinformationtechnologystrategicplan, x developedanenterprisearchitecture, x implementedinformationtechnologyacquisitionreviewandsystems

engineeringlifecycleprocesses,and x ledtheadvancementofagilemethodologiesforsoftwaredevelopment.

TheChiefInformationOfficerstillfaceschallenges,however,incoordinatingacross internaldivisions.LimitedcommunicationandcoordinationcanhinderUSCISabilityto supportmissionneeds,useandallocateresourcesmoreeffectively,fosterasenseof collaboration,andimprovemorale.

TheUSCISChiefInformationOfficeralsofaceschallengesinensuringthatthe informationtechnologyenvironmentfullysupportsUSCISmissionneeds.Specifically, thesystemsdonotfullyprovidedesiredfunctionality,andsystemreliabilityisalsoa challenge.Limitedfunctionalityandreliabilitystemfromchallengeswithinfrastructure planning.Asaresult,theprocessingofbenefitsisdelayed,andUSCIScustomersmay havetowaitlongerforadecisionontheirapplicationsforbenefits.Inaddition,staff membersarenotalwayssurewhichsystemstouseorwhichsystemsareavailableto performspecificjobfunctions.Asaresult,staffmaynotbeaccessinginformationthatis availabletomakeinformeddecisionsonadjudicationofbenefits,andstaffsabilityto carryoutUSCISmissionmaybehampered.

WemadefourrecommendationstotheChiefInformationOfficer,USCIS,tofinalizethe informationtechnologystrategicplan,developaplantoaddressseniorlevelstaffing vacancies,coordinatewithsystemownerstoensureusersareprovidedwithadequate training,anddevelopaplantorefreshoutdatedinformationtechnologyinfrastructure.


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Background U.S.CitizenshipandImmigrationServicesoverseeslawfulimmigrationtotheUnited States.TheUSCISmissionistosecureAmericaspromiseasanationofimmigrantsby: x providingaccurateandusefulinformationtoitscustomers, x grantingimmigrationandcitizenshipbenefits, x promotinganawarenessandunderstandingofcitizenship,and x ensuringtheintegrityoftheU.S.immigrationsystem.

Toaccomplishitsmission,USCIShas18,000governmentemployeesandcontractors workingat250officesworldwide.USCISprovidesitsservicesthroughastructurethat consistsofitsheadquartersofficeinWashington,DC;4servicecenters;29district offices;136applicationsupportcenters;andfourregionaloffices.Inaddition,asylum offices,telephonecenters,theNationalRecordsCenter,andtheNationalBenefits Centerprovideservicestocustomersaswell.Onanaverageday,USCISemployees: x process23,000applicationsforvariousimmigrationbenefits, x issue6,100permanentresidentcards, x process310refugeeapplications,and x grantasylumto55individuals.

Duringfiscalyear(FY)2012,USCISnaturalized763,690newcitizens.InFY2014,USCIS budgetwasapproximately$3.4billion.USCISbudgetrepresents5percentofthe DepartmentofHomelandSecuritys(DHS)overallbudgetofapproximately$59billion. Informationtechnology(IT)systemsplayacriticalroleinenablingUSCIStoaccomplish itsmission.USCISOfficeofInformationTechnology(OIT)providestheIT,expertise,and strategicvisionnecessarytoenableUSCIStodelivereffective,efficient,andsecure immigrationservicesandproducts.OITsupportsUSCISpersonnelwhouse approximately25,000computers.AsofAugust2013,OITemployed2,138staff, including420Federalemployeesand1,718contractors.InFY2012,USCISITspending wasapproximately$379million. ToplanandmanageUSCIScriticalITenvironment,OITisorganizedintosevenoffices anddivisions,asshowninfigure1:



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x OfficeoftheChiefofStaff, x ResourceManagementDivision, x OfficeoftheChiefTechnologyOfficer, x InformationSecurityDivision, x EnterpriseInfrastructureDivision, x EndUserServicesDivision,and x SystemsEngineeringDivision.

Figure1.USCISOITOrganizationalStructureasofAugust2013

TheChiefofStaffassistsOITindeliveringITservicestotheenterprisethroughmanaging coordinationandcollaborationacrosstheorganization.TheResourceManagement Divisionleadsthedevelopment,execution,evaluation,andreportingoftheOITbudget, anddirectsandmanagesthefullcycleofallITacquisitions.TheChiefTechnologyOfficer providesenterprisearchitectureguidancetodeliverITcapabilitiesandtechnology solutionsinsupportofUSCISmissionandstrategicobjectives.TheInformationSecurity DivisionimplementsDHSInformationSecurityProgrampolicies,procedures,standards, andguidelinesthroughouttheagency. Inaddition,theEnterpriseInfrastructureDivisionprovidesITinfrastructureengineering, design,testing,implementation,andoperationalsupportservicesfortheagency, includingnetworks,serverrooms,datastorage,telecommunications,video conferencingservices,andinfrastructuresecurity.TheEndUserServicesDivision partnerswithUSCIScustomerstoenablethemtoaccessreliable,effective,secure,and flexibleenduserservicesessentialtoachievingtheirmissions.Finally,theSystems EngineeringDivisioncoordinates,directs,manages,andoverseesthedescription, design,development,andintegrationofITservicesthatsupportUSCIS.


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OITisresponsiblefordesigning,developing,andintegratingallITsystemsthatsupport USCISoperations.SomeofUSCISmajorITsystemsandprogramsincludethefollowing: x ComputerLinkedApplicationInformationManagementSystem3(CLAIMS3)

Thislegacyimmigrationcasetrackingandprocessingsystemisusedfor adjudicatingapplicationsandpetitionsforimmigrationbenefitsandservices otherthannaturalization,refugeestatus,andasylum.

x ComputerLinkedApplicationInformationManagementSystem4(CLAIMS4) Thepurposeofthislegacysystemistoprovideimmigrationbenefitsandservices tonaturalizationapplicants.

x Infrastructure,EndUserSupportThisprogramsupportstheoperationsand maintenanceinfrastructureoftheagency.

x TransformationTransformationsgoalistomodernizeUSCISbytransitioning theagencyfromafragmented,paperbasedenvironmenttoacentralized, paperlessenvironmentusingelectronicadjudication.

x VerificationInformationSystem/EmploymentEligibilityVerificationThis programsupportstheSystematicAlienVerificationforEntitlementsProgram.In addition,theEVerifyprogramusestheVerificationInformationSystemto allowparticipatingemployerstoverifyemploymenteligibilityofnewemployees.

EffectivemanagementofITsystemsisimportanttosupportmissionoperations.In previousaudits,weidentifiedchallengeswithUSCISITmanagementand infrastructure.Specifically,in2009,wereportedthatinsufficientITstaffingand limitedITbudgetauthorityimpededtheChiefInformationOfficer(CIO).1Although USCISimproveditsITinfrastructure,otherITeffortswerestalledduetolimited funds.In2011,wereportedITmanagementchallengesinUSCISimplementationof itsTransformationprogram,suchasinsufficientlydefinedsystemrequirementsand governanceandstaffingproblems,whichledtodelaysinthedeliveryofcapabilities. Asaresult,USCIScontinuedtorelyonpaperbasedprocesses.2

ResultsofAudit

ITManagementCapabilitiesEstablished

TheCIOledactionstoestablishkeyITmanagementcapabilitiestosupportthe USCISmission.Specifically,theCIOdevelopedadraftITstrategicplanthat defineskeygoalsandobjectivesforfulfillingUSCISmissionresponsibilities.In

1OIG0990,U.S.CitizenshipandImmigrationServicesProgressinModernizingInformationTechnology, July2009. 2OIG1212,U.S.CitizenshipandImmigrationServicesProgressinTransformation,November2011.



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addition,theCIOdevelopedanenterprisearchitectureandimplementedIT acquisitionreview(ITAR)processes.TheCIOalsoimplementedasystems engineeringlifecycle(SELC)processtomanageITprograms.Further,theCIOled theadvancementofagilemethodologiesforsoftwaredevelopment.Asaresult, criticalcapabilitiesexistwithinOITtohelpensureeffectiveITmanagementand guidefutureinitiatives. USCISOIThasalsomadeprogressincommunicatingandcoordinatinginternally andwithkeycomponentstakeholdersbyestablishingregularmeetingsand communicationchannels.However,USCISOITstillfaceschallengesin coordinatingacrossOITdivisionsdueinparttoseniorlevelstaffvacancies. LimitedcommunicationandcoordinationcanhinderUSCISabilitytosupport missionneeds,touseandallocateresourcesmoreeffectively,andtofostera senseofcollaborationandimprovemorale. StrategicPlanning TheGovernmentPerformanceandResultsActof1993holdsFederalagencies responsibleforstrategicplanningtoensureefficientandeffectiveoperations anduseofresourcestoachievemissionresults.3Additionally,Officeof ManagementandBudget(OMB)CircularA130,asrevised,instructsagencyCIOs tocreatestrategicplansthatdemonstratehowinformationresourceswillbe usedtoimprovetheproductivity,efficiency,andeffectivenessofgovernment programs.4DHSManagementDirective(MD)0007.1requirescomponentCIOsto developandimplementanITstrategicplanthatclearlydefineshowITsupports anagencysmissionanddrivesinvestmentdecisions,guidingtheagencytoward itsgoalsandpriorities.5 TheUSCISCIOdraftedtheUSCISOITStrategicPlan,20132017.6Thegoalofthe draftplanistoprovideavisionforanOITofthefuture,suchasthesystemsand capabilitiesitwilloffertheagencyandtheprocessesOITwilluse.Inaddition, theplanconveyshowOITwillworkwiththerestoftheManagementDirectorate tosupporttheagencysmission. ThedraftplanidentifiesanITstrategythatdescribestheCIOsvision,mission, goals,andobjectivesthrough2017.Theplanincludesfivegoals:

3PublicLaw10362,GovernmentPerformanceandResultsActof1993,August3,1993. 4OMBCircularA130,ManagementofFederalInformationResources,TransmittalMemorandum#4, November28,2000. 5DHSMD0007.1,InformationTechnologyIntegrationandManagement,March15,2007. 6Atthetimeofourfieldwork,USCIShadnotfinalizedandimplementedtheOITStrategicPlan.



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x increaseresponsivenesstoagencyneedsbyexecutingprojectsrapidly,

nimbly,reliably,andefficiently,usingbestpracticesandfocusingon businessresults,

x provideaninfrastructureandarchitecturethatarealignedwiththe futureneedsoftheagencyandDepartment,

x betrustworthystewardsoftheagencysresources, x supportTransformationwithaviewtowardmakingtheElectronic

ImmigrationSystemthecenterofOITsfuturearchitectureand processes,and

x expandOITsfootprintgentlybyusingittodrivebusinessvaluecreation. Toaccomplishthesegoals,theUSCISCIOestablishedspecificobjectivesforeach goal.Forexample,tomeetthegoaltoincreaseresponsivenesstoagencyneeds, theplanidentifiesthreeobjectives: x developaprojectandprogrammanagementfunctionthatiscustomer

centricandorientedtowardresultsmeasuredinbusinessvalue, x buildanagileorganizationandinfrastructuretoprovideflexibility,faster

solutions,andreducedcoststotheagency,and x measurebusinessresultsandservicelevelsagainstpreestablishedgoals.

ThegoalsdescribedintheUSCISOITStrategicPlan,20132017alignwithUSCIS agencywidegoals.Theplansupportsagencygoalstoprovideeffective customerorientedimmigrationbenefitandinformationservices,strengthenthe securityandintegrityoftheimmigrationsystem,andstrengtheninfrastructure. TheplanalsoalignswiththeDHSITStrategicPlan,20112015toensurethat USCISOITsupportstheDHSCIOsDepartmentwideITgoals.Table1showsthe alignmentofUSCISOITgoalswithDHSITgoals.



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Table1.AlignmentofUSCISOITGoalswithDHSITGoals


USCISOITGoals

Goal1 Goal2 Goal3 Goal4 Goal5

DHSIT Goals

Goal1:EstablishsecureITservicesand capabilitiestoprotectthehomelandand enhancetheNationspreparedness, mitigation,andrecoverycapabilities.

9 9

Goal2:Improvesecureandtrusted internalandexternalinformationsharing. 9 9

Goal3:Improvetransparency, accountability,andefficienciesofservices andprogramsthrougheffective governance,programmanagement,and enterprisearchitecture.

9 9 9 9

Goal4:Transformtheorganizational healthoftheDHSITcommunityby developinganexceptionalworkforcethat willfunctioneffectively,deliveroperational excellence,andgrowfromwithin.

9

Toprovideamorecompletevision,OITalsodraftedaStrategicHumanCapital PlanandaUSCISOITEnterpriseArchitectureVision.TheStrategicHumanCapital PlanprovidestheconceptforhowOITwilldevelop,recruit,andsupporttheOIT workforcefrom2013through2017.TheEnterpriseArchitectureVisionillustrates wherethedesignoftheagencyssystemswillmoveduringthatperiod.OITs developmentoftheHumanCapitalPlanandEnterpriseArchitectureVision,in additiontotheOITStrategicPlan,providesamorecompletestrategytoensure thealignmentofpeople,processes,andtechnologytoachieveDepartmental andUSCISgoals. EnterpriseArchitecture TheClingerCohenActof1996,asamended,andOMBcircularsmandatethe establishmentanduseofanenterprisearchitecturetoguideanddirect governmentinvestmentsfrominceptionthroughretirement.7Inaddition,OMB MemorandumM1129statesthatCIOsmustuseanenterprisearchitectureto consolidateduplicativeinvestmentsandapplications.8Anenterprisearchitecture

7PublicLaw104106,DivisionE,February10,1996.Thelaw,iniallytledtheInformation TechnologyManagementReformActof1996,wassubsequentlyrenamedtheClingerCohenActof1996 inPublicLaw104208,September30,1996.OMBCircularA130,Revised,ManagementofFederal InformationResources,November28,2000;andOMBCircularA11,Revised,Preparation,Submission, andExecutionoftheBudget,August3,2012. 8OMBM1129,ChiefInformationOfficerAuthorities,August8,2011.


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describesthecurrentarchitecture,targetarchitecture,andtransitionstrategy forattainingthetargetgoalsandobjectives.Anenterprisearchitectureenables leadershiptoprioritizeavailableresourcestosupportmissionfunctions,ensures thatmissionrequirementsdrivetechnologyinvestments,andidentifiescurrent capabilitiesandperformancegapsaswellasprojectedfuturegaps. TheUSCISCIOdevelopedandimplementedanenterprisearchitecturetoalign withtheDepartmentsarchitectureandguidetheUSCISITenvironment.Since FY2011,USCIShasprovidedtheDepartmentwithaselfassessmentstatus reporteachquarteronitsenterprisearchitectureprogram.Inthesequarterly assessments,USCISrateditsprogressagainsttheGovernmentAccountability Office(GAO)EnterpriseArchitectureManagementMaturityFramework.9In FY2011,USCISidentifieditsenterprisearchitecturematurityatstagethreeof thesixstagesoftheframework,whichindicatedthatUSCISwasdeveloping initialenterprisearchitectureversions.InFY2013,USCISrateditsprogressat stagesixmaturity.Inthisstage,USCISiscontinuouslyimprovingtheenterprise architectureanditsusetosupporttheagencysmission.Figure2showsUSCIS enterprisearchitecturematuritywithinthestagesoftheEnterpriseArchitecture ManagementMaturityFramework.

Figure2.USCISMaturitywithintheEnterpriseArchitectureManagement MaturityFramework Since2011,theHomelandSecuritySystemsEngineeringandDevelopment Institute,theDepartmentsfederallyfundedresearchanddevelopmentcenter,

9GAO10846G,AFrameworkforAssessingandImprovingEnterpriseArchitectureManagement(Version 2.0),August2010.


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hasconductedindependent,objectivereviewsofthequarterlystatusreportsof selectDHScomponents.AsofthesecondquarterofFY2013,theInstitute independentlyidentifiedtheUSCISenterprisearchitectureprogramatstagesix maturity.Accordingtotheindependentassessment,theUSCISenterprise architectureprogramishighperformingandextremelymature. ITAcquisitionReview DHSMD0007.1requirescomponentCIOstosubmitITacquisitionsvaluedat $2.5millionorgreatertotheDHSCIOforreview.Thisdirectivealsorequires componentCIOstoapproveITacquisitionslessthan$2.5million.

USCISimplementedITacquisitionandinvestmentmanagementprocessesthat complywithDHSpolicies.Specifically,USCISissuedManagement Directive102001,AcquisitionandInvestmentManagement.ThisDirective providestransparencyintoprogramperformance,ensureseffectiveutilizationof resources,andenableseffectivedecisionmakingbyseniorleadership,including theUSCISCIO.10 TheDirectiverequiresthatUSCIScustomerssubmitarequesttoOITfor acquisitionreviewaftercompletingaMissionNeedsStatement.AMissionNeeds StatementincludesabusinesscaseexplainingwhytheITinvestmentisneeded. Duringtheacquisitionreviewprocess,OITresponsibilitiesinclude: x ensuringthatcurrentandproposedITinvestments,programs,and

projectsareincompliancewiththeenterprisearchitectureandsupport DHSandUSCISstrategicgoals,

x evaluatingcompliancewithdata,privacy,andsecurityrequirementsofIT investments,and

x vettingandreportingITinvestmentspriortotheirsubmissiontothe ComponentAcquisitionReviewBoard(CARB),theComponentAcquisition Executive,andtheDepartmentforreviewandapproval.

Whentheacquisitionreviewiscomplete,OITsubmitsallacquisitionswith $150,000ormoreinlifecyclecoststotheCARB.TheCARBisasenior managementboardthatensuresacquisitionsalignwithstrategicobjectives, reflectUSCISpriorities,andmeetmissionneeds.TheCARBischairedbythe AssociateDirectorforManagementandcomprisedofseniorrepresentatives fromselectedagencylinesofbusinessincludingOIT,Directorateleadership,the

10USCISManagementDirectiveNo.102001,AcquisitionandInvestmentManagement,April27,2010.



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OfficeofTransformationCoordination,theOfficeoftheChiefFinancialOfficer, andtheinvestmentsponsor.Further,theUSCISCIO,ortheDeputyCIO,andthe DirectorofManagement,whoistheComponentAcquisitionExecutive,approve ITacquisitionsover$150,000. OnceapprovedbytheCARB,USCISITacquisitionrequeststotaling$2.5million ormorearesubmittedtotheDHSOfficeoftheChiefInformationOfficer(OCIO) forapproval.TheDHSOCIOreviewseachacquisitionfromanenterprisebusiness andtechnicalperspectivetoensurealignmentwithDHSenterprisearchitecture, informationsecurity,andaccessibilitystandardsandpolicies.

AsynopsisoftheacquisitionisthenprovidedtotheDHSOCIOandmanagement forfinalreviewandapproval.InFY2013,USCISsubmitted51acquisition requeststotheDHSOCIOforapproval. SystemsEngineeringLifeCycle DHSAcquisitionInstruction/Guidebook#10201001,AppendixB,requires agenciestofollowaSELCprocess.11ThepurposeoftheDHSSELCistoestablisha standardsystemlifecycleframeworkacrossDHSagenciesandtoensurethat DHSITcapabilitiesaredeliveredefficientlyandeffectively. TheUSCISCIOimplementedtheDHSSELCprocessincompliancewith Departmentalguidance.OITusestheUSCISSELCGuidetomanageUSCISIT projectsusingtheSELCmethodology.12TheUSCISSELCGuidehighlightskey componentsofthelifecyclewithinformationonhowthelifecycleappliesto USCISprojectmanagersandotherstakeholdersintheprojectlifecycle.It describesSELCrequirementsandpresentscriticalinformationforeachstageof theSELC.Figure3showsthestagesoftheSELC.

11DHSAcquisitionInstruction/Guidebook#10201001,AppendixB,InterimVersion2.0,September21, 2010. 12UnitedStatesCitizenshipandImmigrationServiceSystemsEngineeringLifeCycleGuide,Version2.0, January24,2011.


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Figure3.USCISSELCStages

TheOITEnterpriseProgramManagementOffice(EPMO)managesandmaintains theUSCISSELC.EPMOstaffassistbusinessowners,projectmanagers, infrastructureliaisons,oranyoneleadingaproject,change,orreleaseinitiative toclarifylifecyclerequirements,providetemplates,andgenerallyguide programmaticactivitiesassociatedwithSELCcompliance.Additionally,EPMO representativesprovideguidanceincraftinganappropriateProjectTailoring Plan,developingdocumentation,andpreparingforreviews. TheCIOsimplementationoftheSELCprocessshouldhelpUSCISensurethatits ITinvestmentswillsupportUSCISandDHSstrategicgoals.

AgileDevelopmentProcess TheUSCISCIOadoptedanagileapproachforsoftwaredevelopment.Inaddition, theUSCISCIOhasledtheadvancementofagilemethodologiesthroughoutDHS. Agileapproachesuseaniterative,incrementalprocessthatischaracterizedby small,frequentreleasesdevelopedinclosecollaborationwiththecustomer. Thesepracticesprovidefrequentopportunitiestoobtaincustomerfeedbackand improvethequalityoftheproduct. USCISOITbeganimplementingstandards,processes,andtoolstosupportagile bestpractices.OITsManagementInstructionCISOIT001,AgileDevelopment Policy,establishestheUSCISpolicy,procedures,requirements,and responsibilitiesfortheuseofanagiledevelopmentapproach.13Toprovidetools foragiledevelopment,OITisdevelopingtheStandardManagementAnalysis ReportingToolBusinessIntelligenceenvironment,whichwillprovidebetter accesstodataforreportingneeds.OITalsodevelopedtheStandardLightweight OperationalProgrammingEnvironment,whichprovidesUSCISbusinesslines withlocalapplicationdevelopmenttomeettheITdemandsofthebusiness.In addition,OITisreworkingtheSELC,streamlininggovernanceprocesses,and

13USCISManagementInstructionCISOIT001,AgileDevelopmentPolicy,April10,2013.


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leveragingDHScloudasaserviceofferings,whichreducecostsandimprove overallservicelevels. TheUSCISCIOprovidedagiledevelopmenttrainingtoUSCISstaff.Forexample, tofacilitatethechangeinternally,theCIObroughtinagilecoachestotrainOIT staff;operationalstaff,suchasprogrammanagersintheCustomerServiceand PublicEngagementDirectorateandtheOfficeofTransformationCoordination; andUSCISleadership.Otherformsoftrainingincludebrownbagsessions,in houseclasses,recommendedreadinglists,andagiletrainingevents. USCISOITusedagilemethodstodeliveranumberofsystemsandreleases successfully.Forexample,USCISusedagiledevelopmenttocreatetheRefugee OfficerSchedulingSystem,whichallowsrefugeeofficerstoreviewcalendarsand schedulingreportstoensureaccuracy.Thesuccessofthissmallagileprojectled tolargerscaleprojects.Specifically,OITtransitionedtheTransformation programalarge,complexITprojecttoanagileapproach.Transformations goalistomodernizeUSCISbytransitioningtheagencyfromapaperbased environmenttoapaperlessenvironmentusingelectronicadjudication.Aspartof theTransformationprogram,USCISlaunchedthefirstphaseoftheElectronic ImmigrationSystem(ELIS),anonline,accountbasedsystem.ThroughELIS, customerselectronicallysubmitapplicationsandsupportingdocuments. FortheprogramsfirstreleaseofELIS,Transformationusedawaterfall developmentmethodology.Thismethodologyisoftenusedtodeveloptheearly releasesoflargeITprojects.14In2012,forthedevelopmentofthesecond releaseofELIS,theTransformationprogrambegantransitioningtoagile softwaredevelopmentmethodology.Agileteamsbeganworkingonreleasesfor enhancingthefunctionalityavailabletoadjudicatorsandbackgroundcheck officers.OITissuedreleasesofthesystemevery4months.TheOfficeof TransformationCoordinationidentifiedtheTransformationreformfrom waterfalltoagileasitsbiggestsuccess. Agilemethodsusedduringsoftwaredevelopmentprojectscanreducetheriskof projectfailureandassurethatthedeliveredsystemperformsasintended.These methodsaimtoimprovevalue,reduceprojectrisk,lowercost,improvevisibility, andbetteradapttochangingneeds.Withtheappropriateblendoftools, processes,andpeoplewithappropriateskillsets,theUSCISCIOcanusethese

14Waterfalldevelopmentmethodologyisahighlystructureddevelopmentprocesswhereallstagesmust beconductedsequentiallyuntilallrequirementsarefulfilledinacompletesystem.


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agileapproachestosupporttheagencybetterinitsgoals,suchascompleting theUSCISTransformationeffort. Communication AccordingtoDHSMD0007.1,ITintegrationandmanagementrequirestrong communication. TheCIOincreasedcommunicationchannelswithinOITandwithinternalUSCIS customers.Specifically,eachweek,theCIOmeetswithseniorOITstafftodiscuss OITskeypriorities.Additionally,theDeputyCIOmeetswithseniorOITstaffto discussindetailoperationalconcernsandfinancialinformation.Further,theCIO holdsamonthlymeetingwithallOITstaff,andparticipatesinamonthlymeeting withUSCISseniorleaders,includingregionalandServiceCenterdirectors. SeniorstaffoutsideofOITinofficessuchasManagement,CustomerServiceand PublicEngagement,andTransformationnotedtheincreasedcollaborationwith OIT.OITsSystemsEngineeringDivisionholdsmonthlymeetingswiththe EnterpriseServicesDirectorateandFieldOperations.Inaddition,theSystems EngineeringDivisionholdsweeklymeetingswithVerification,andalsoconducts frequentmeetingsandprojectmanagementreviewsforspecificprojects. Further,OITEndUserServicescommunicatesinformationtothefieldvia newslettersandemails,andholdsmonthlytownhallmeetingswithField OperationsandServiceCenterOperationstoexchangeinformationwith customersinthefieldoffices.Regionalofficestaffwithwhomwemetsaidthat thesemonthlymeetingsarehelpfulforsharinginformationanddiscussing problems. Inaddition,OITcreatedcustomerserviceliaisonpositions,whichhashelped increasecoordinationbetweenOITandthefield.Customerserviceliaisons coordinatebetweenOITandtheendusersinfieldlocationstoenhance communication,toprovidegreatercoordinationofservicedelivery,andtohelp satisfycustomerneeds.AsthefaceofOITtoendusers,customerserviceliaisons offeracriticalcommunicationpipelinebetweenOITandendusers.Customer serviceliaisonscommunicateOITpoliciesandgoalstoendusersinthefield,and areabletocommunicateuserrequirementstoOITmanagement. USCISleadershipattributedthismorecollaborativeapproachinparttonewOIT leadership,includingtheCIO,DeputyCIO,andmultipledivisiondirectors.



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ChallengeswithCommunicationandCoordination Althoughcommunicationhasincreased,USCISOITstillfaceschallengesin coordinatingacrossOITdivisions.Staffwithwhomwemetatheadquartersand inthefieldnotedaneedformorecommunication,collaboration,and coordinationwithintheOITorganization.Forexample,whenanewcontractor ownedfacilityinKentuckywasbeingsetup,theEnterpriseInfrastructure DivisionwasinformedinJuly2013thatitwasresponsibleformakingthenew siteoperationalin90to120days.Thistaskincludedinstallingcircuits,firewalls, switches,androuters.AnOITteamfromVermonthadtostopworkonother projectstosetupthefacility,andthedeadlinesformakingthesiteoperational weremet. Inaddition,OITdivisionswouldoverlapinrolesandresponsibilitieswhen carryingouttheenterprisewideWorkPlaceasaServiceoffering,whichwas beingpilotedatUSCISatthetimeofourfieldwork.WorkPlaceasaService providesuserswithsecurevirtualaccesstoDHSandUSCISdesktopoperating systemsandapplicationsthroughtheuseofITdevices,suchaslaptopsand tablets.Forexample,theEndUserServicesDivisionisresponsiblefororderingIT equipmentforUSCIS,whiletheEnterpriseInfrastructureDivisionisresponsible forcoordinatingwiththeEnterpriseDataCenterinwhichthesystemishosted. However,theEnterpriseInfrastructureDivisionreceivedfundstomanagethe purchaseoftabletsforthepilotswithoutEndUserServicesmanagementbeing informed.Asaresult,EndUserServices,whichtracksequipmenttoavoidtheft, couldnotvettheprocessproperly. USCISalsofacedsignificantchallengeswithcoordinatingsoftwarelicense management.OITstafftoldusthat,priorto2013,licensesandmaintenance agreementswerenotcentrallymanaged.Instead,eachOITdivisionwas responsibleformanaginglicensesonitsown.Insomecases,USCIScontractors installedmorelicensesthanwereavailable,requiringUSCISmanagementto workwiththesoftwarevendorstoresolvetheissue. TheCIOisawareofexistingchallengeswithlicensemaintenancerenewalsand hasmadeitapriority.OITestablishedaworkinggroupresponsibleformanaging allsoftwareandlicensingagreements.Further,OITbeganimplementinga licensingandmaintenancemanagementprocess,andcreatedaposition descriptionfortheChief,StrategicVendorManagement,whowillberesponsible formanagingsoftwareacquisition,compliancewithvendorcontracts, maintenancerenewals,andlifecycleplanningandcosting.


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Communication,coordination,andcollaborationgapswithinOITaredueinpart toseniorlevelstaffvacancies.Atthetimeofourfieldwork,OITsChiefofStaff andChiefTechnologyOfficerpositionswerebothvacant,makingitmoredifficult forOITtoincreaseorganizationalcoordinationandcontrol.Limited communicationandcoordinationcanhinderUSCISabilitytosupportmission needs,touseandallocateresourcesmosteffectively,andtofosterasenseof collaborationandmorale. Recommendations WerecommendthattheChiefInformationOfficer,U.S.Citizenshipand ImmigrationServices: Recommendation#1: FinalizeandcommunicateUSCISITStrategicPlantoensurethatITsupportsthe missionofUSCISandtheDepartment.

Recommendation#2: Developandimplementaplanofactionandmilestonestoaddressseniorlevel staffingvacanciesincludingChiefofStaff,ChiefTechnologyOfficer,andChief, StrategicVendorManagement. ManagementCommentsandOIGAnalysis WeobtainedwrittencommentsonadraftofthisreportfromtheActingDeputy Director,U.S.CitizenshipandImmigrationServices.Wehaveincludedacopyof thesecommentsintheirentiretyinappendixB. Inthecomments,theActingDeputyDirectorconcurredwithour recommendationsandprovideddetailsonstepsbeingtakentoaddressspecific findingsandrecommendationsinthereport.Wehavereviewedmanagements commentsandprovidedanevaluationoftheissuesoutlinedinthecomments below. Inresponsetorecommendationone,theActingDeputyDirectorconcurredand statedthatthedraftUSCISOITStrategicPlan20132017hasbeenreviewed throughoutUSCISandiscurrentlyundergoingfinalreviewbytheUSCISCIO. USCISexpectstofinalizeandpublishthedocumentbySeptember30,2014.At thattime,thedocumentwillbemadeavailableonUSCISintranetand



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communicatedviaanagencywideelectronicnewsletter.Werecognizethis actionasapositivesteptowardaddressingthisrecommendationandlook forwardtolearningmoreaboutcontinuedprogressinthefuture. Inresponsetorecommendationtwo,theActingDeputyDirectorconcurredand statedthatOIThasmadesignificantprogressinaddressingseniorlevelstaffing vacancies.OITselectedanewChiefofStaff,whoiscurrentlygoingthroughpre employmentclearanceprocesses.OITisalsointerviewingcandidatesforthenew StrategicVendorManagementposition. Further,OITcreatedanewdivision,theAppliedTechnologyDivision,inMay 2014toensurethatITsystemsandservicesaredeliveredatahighlevelof qualityandareconsistentwiththeenterprisevisionforarchitectureand practices.TheChiefTechnologyOfficerpositionwillresideinthisdivision. TheActingDeputyDirectorstatedthatUSCISiscommittedtofillingthepositions notedinourrecommendationandisontracktodosobyOctoberof2014.We believethatsucheffortsaregoodstepstowardaddressingourrecommendation andlookforwardtolearningmoreaboutcontinuedprogressinthisregard. SupportofMissionNeeds

TheCIOfaceschallengesinensuringthattheITenvironmentfullysupportsUSCIS missionneeds.Specifically,thesystemsdonotfullyprovidedesired functionality.Systemreliabilityisalsoachallenge.ThelimitedITfunctionality andreliabilityexperiencedbyusersstemfromchallengeswithinfrastructure planning.Asaresult,benefitsprocessinganddeterminationsonapplicationsfor benefitsmightbedelayed. Inaddition,staffmembersarenotalwayssurewhichsystemstouseorwhich systemsareavailabletoperformspecificjobfunctions.Asaresult,staffmaynot beaccessinginformationthatisavailabletomakeinformeddecisionson adjudicationofbenefits,andsuchconditionsmighthamperstaffsabilitytocarry outUSCISmission. ITFunctionality AccordingtoDHSMD0007.1,theComponentCIOisresponsibleforthetimely deliveryofmissionITservicesindirectsupportofcomponentmission,goals, objectives,andprograms.Further,theComponentCIOisresponsiblefor acquiring,developing,operating,andmaintainingallmissionrelatedsystems


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andservices.Inaddition,accordingtothePaperworkReductionActof1995, agenciesarerequiredtopromotetheuseofITtoimprovetheproductivity, efficiency,andeffectivenessofagencyprograms,includingthereductionof informationcollectionburdensonthepublic.15 USCISITsystemsdonotfullyprovidethefunctionalityneededtosupportits mission.Forexample,aspartofitsTransformationprogram,USCIScreatedELIS, anelectronicimmigrationsystem.TheaimofELISistoprovideamoreefficient andhigherqualityadjudicationprocess.However,insteadofimproved efficiency,timestudiesconductedbyservicecentersshowthatadjudicatingon paperisatleasttwotimesfasterthanadjudicatinginELIS.16Immigration servicesofficerstakelongertoadjudicateinELISinpartbecauseofthe estimated100to150clicksrequiredtomoveamongsublevelsandopen documentstocompletetheprocess.StaffalsoreportedthatELISdoesnot providesystemfeaturessuchastabsandhighlighting,andthatthesearch functionisrestrictedanddoesnotproduceusableresults. OITandtheOfficeofTransformationCoordinationleadershipareawareofthe problemswithELISandsolicitedconcernsfromusersinoperations.USCISmade changesinsubsequentreleasesofELIS,suchasreducingthenumberofclicks requiredtoperformoperations.However,USCIShasbeenlimitedinitsabilityto makechangestoELISbecauseofchallengeswiththeexistingarchitecture.The architectureconsistsof29commercialsoftwareproducts,whicharedifficultto integrate.Mostchanges,likeadjustingtheinterfacetomakeitmoreintuitive, willbeimplementedaspartoftheprogramstransitiontoamoreflexible architecture.ThestartofdevelopmentinthenewarchitecturebeganinOctober 2013.ELIS2isscheduledtobedeployedbytheendofcalendaryear2014. Inaddition,staffsaidthatittakeslongertoprocessadjudicationswhenusingthe EnterpriseDocumentManagementSystem(EDMS)thanwhenusingpaper basedprocesses.EDMSisawebbasedsystemthatallowsauthorizedusersto viewandsearchelectroniccopiesofthepaperbasedcasefiles.USCISstaff accessthecasefilestolearnthestatusofindividuals,includingpermanent residents,naturalizedcitizens,andotherindividualsofinterest.Staffmembers

15PublicLaw10413,PaperworkReductionActof1995,May22,1995. 16Onelocationsstudyshowedusersadjudicating1.68casesperhouronpaperversus0.76casesinELIS, andanotherlocationscomparisonfoundthatuserscanadjudicate2.16casesperhouronpaperand0.86 casesinELIS.



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usetheinformationtocompletetheirjobfunctions,suchasadjudicating requestsforTemporaryProtectedStatus.17 DigitizationofthefilesinEDMSreducesthedocumentdeliverytime,asthefiles donothavetobeshippedacrossUSCISlocations.However,staffsaidthatusing EDMSisburdensome.Eachdocumentisaseparatefilethatcantake30seconds ormoretoload,andstaffmembersareabletolookatonlyonedocumentata time.Inaddition,documentsarenotsearchable.Thefilenamesuseddonot alwaysproperlyidentifytheinformationcontainedinthefile,andkey documentsaresometimesburiedinthemiddleofalongerfile.Staffsaidthat thesedocumentissuesmaycauseanimmigrationservicesofficertomiss importantinformation.Severalstaffmemberssaidthattheydelayworkthat requirestheuseofEDMS,withsomedelayingEDMScasesformonthsandeven uptoayear. WorkinginELISandEDMScreatesamarkedslowdownintheworkprocessesof adjudicators.Theslowersystemsleadtouserfrustrationandreluctancetoadapt toelectronicprocessing.SeveralpersonneltoldusthatITsystemssuchasEDMS madetheirjobsmoredifficultinsteadofeasier.Staffmembersexpressed concernabouttheirslowerproductivity,andthepotentialeffectontheir performanceratings,whenusingsystemssuchasELISandEDMS.In2012,prior tothedeploymentofELIS,USCISsignedamemorandumofagreementwiththe Uniontoensurethatstaffmemberswhoadjudicateinthesystemwouldnotbe penalizedforlowerproductionrates.InNovember2013,USCISsignedan updatedmemorandumofagreement,statingthatadjudicatorswouldnotbe penalizedforlowerproductionratesintheeventofanELISoutageornon availabilityevent. Mostcritically,becauseoflongerprocessingtimes,applicantsmaywaitlongerto receivetheirbenefitsordecisionsontheirpetitions.Thedelaymaybeespecially criticalforEDMSbecauseitisusedtoprocesscasesfiledundertheImmigration andNationalityActasamendedbytheViolenceAgainstWomenActof1994 (VAWA).18Forinstance,applicantswhohavefiledorwhoarerecipientsofa filingontheirbehalfanimmigrantvisapetitionundertheVAWAprovisions includeabusedspouses,parents,andchildren.Immigrationservicesofficerssaid thattheeffectofdelayedcasereviewduetoproductivityissuessurrounding

17TemporaryProtectedStatusisatemporaryimmigrationstatusgrantedtoeligibleindividualsfrom designatedcountries,suchascountrieswithconditionsthatpreventtheindividualsfromreturningsafely. 18PublicLaw89236,ImmigrationandNationalityActof1965,asamendedbytheViolenceAgainst WomenActof1994,PublicLaw103322,TitleIV,Sections4000140703oftheViolentCrimeControland LawEnforcementActof1994,September13,1994.



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EDMScanbeextremelydireifaVAWAapplicantisharmedbyanabuserwhile awaitingadjudication. OITandprogramleadershipindicatedthatusersmayfacedifficultieswithELIS andEDMSbecausetheseusersfeeluncomfortableswitchingfrompaperbased processestosystembasedprocesses.Inaddition,sincestaffmaynotuseELISor EDMSonafrequentbasis,usersmaybeunawareofnewsystemfeatures,such astheoptiontoloadimagesmorequicklyinEDMS.Staffmemberswhousethe systemsinfrequentlymayalsohavedifficultyoperatingthesystemsafteradelay inuse.WhileELISandEDMSprogrammanagerscommunicateinformationabout systemchangesandprovidetrainingtoendusers,theyacknowledgedthatthere maybeaneedforrefreshertrainingforusers.Suchtrainingwouldhelpensure usersareawareofnewersystemfunctionsandprovideopportunitiesto reacquaintstaffwithasystemtheymightnotusefrequently. ITReliability USCISOITalsofaceschallengeswithsystemreliability.Forexample,inMay 2013,USCISlaunchedtheCustomerIdentityVerificationSecondaryInspection Tool(CIVSIT)toenhancetheintegrityoftheimmigrationsystemandprotect applicantsfromidentityfraud.Aspartofrequestingimmigrationor naturalizationbenefits,applicantsvisitoneofUSCISApplicationSupportCenters toprovidetheirbiometricinformation.USCISusesthisinformationtohelp determineeligibilityforrequestedbenefits.ApplicantsvisitingaUSCISfield officeforaninterviewortobeissuedevidenceofanimmigrationbenefit,such astemporarytraveldocuments,arerequiredtohavetheiridentitybiometrically reverified.ThisidentificationcheckentailsUSCISstaffelectronicallyscanningtwo fingerprintsandtakingapictureoftheapplicanttoverifyhisorheridentity.CIV SITmakesitpossibletoidentifyapplicantsbymatchingtheapplicantusingthe twofingerprintscanandpictureandcomparingtheprintsandimagesonfile. However,systemfailuresoccurredwithinthefirsttwohoursofCIVSITsrollout. Althoughthesystemfailuresoccurredattheserver,effortstoaddressthe systemfailureswerehamperedbyhardwareproblems.AninternalUSCIS assessmentreportedhardwareproblems;forexample,threeofthefour camerastestedforusewithCIVSIThadpreexistingcompatibilityproblems. Further,theequipmentforCIVSITwasnotstandardizedpriortothesystems release.Thevarietyoftypesofcamerasandscannersateachsite,withsome sitesinheritingsecondhandequipmentfromU.S.CustomsandBorder Protection,contributedtosystemreliabilityissues.BecausethetypeofIT


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equipmentvariedacrosslocations,itwasdifficulttopinpointsystemissuesand fixes. InSeptember2013,CIVSITredeployedsuccessfully.However,challengeswith CIVSITcontinued,andseniorstaffsaidthatUSCISisconsideringnewsolutions. StaffsaidthatCIVSITsometimesdroppedordidnotcapturekeybiometric information.Asaresult,staffmustspendtimelocatingthemissinginformation. Inoneinstance,theadjudicatorsubmittedarequestformissinginformationon aMondayandwaiteduntilthatThursdayfortheultimateresolution.Further, misplaceddataandsystemfailurecancreateaburdenforapplicantswhomust waitwhilestaffattempttofindmissinginformationorwhohavetoreturntoa fieldoffice,sometimesseveralhoursaway,torepeattheirbiometriccapture. InfrastructurePlanning AlimitedITrefreshplanandhistoricalchallengeswithstandardizingandfunding ITinfrastructurecontributedtoproblemswithsystemfunctionalityand reliability.USCISOIThasyettoimplementafullITrefreshplanthatincludes workstations,printers,andotherITequipment.Upperlevelmanagementwithin USCISandOITacknowledgedthatOITstruggledwithrefreshplanning.Staffwith whomwemetsaidthatUSCISwastooreactiveinregardstorefreshesandcould bemoreproactiveinplanning. OIThasmadeprogressinupgradinghardware;however,challengesremain.For example,USCISbeganimplementingaWorkstationRefreshProgramtoreplace computersthatdonotmeetUSCISstandards.InFY2012andFY2013,USCIS replacedmorethan6,000computers.Inaddition,OITsEndUserServices DivisionwasworkingonastrategicplanforUSCIStoensurethatthecomputer technologyprovidedtoeachUSCISemployeekeepspacewithtechnological developmentsandconcepts.Thisplanwillinvolveadoptinga4yearcyclefor userlevelcomputerreplacement.However,someofUSCISlargestfacilitiesare stillwaitingforarefresh.AsofDecember2013,allfourservicecenters,the NationalBenefitCenter,theNationalRecordsCenter,andtheUSCIS headquartersprogramofficesinWashington,DC,wereawaitingarefresh. USCISOIThasmadeprogressinupgradingoperatingsystemsandsoftware.In March2012,71percentofUSCIScomputerscouldnotrunMicrosoftOffice2010 orWindows7.AsofOctober2013,83percentofUSCIScomputerswereableto runOffice2010andWindows7.However,fullimplementationhasbeendelayed duetolegacysystemsthatarenotcompatiblewithWindows7.Forexample, USCISstruggledwithmigratingtoWindows7becauselegacyapplications,such


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asCLAIMS3andCLAIMS4,arereliantonolderoperatingsystemsandare incompatiblewithWindows7. USCISandOITmanagementareawareoftheneedforcomprehensive infrastructureplanningandaformalrefreshplanbeyondworkstations.AUSCIS officialsaidthatOIThadchallengeswithproducingaplanwithdatesand milestonesfortheWindows7deploymentduetoaneedforincreased coordinationbetweenOITdivisions.Inaddition,membersofOITmanagement saidthatfundingwasoneofthelargestchallengesfacingtherefresh. Historically,definitivereplacementcycleshavebeendifficulttoestablish consistentlyacrossUSCISduetobudgetconstraintsanddisparatefunding sources,aswellasthedecentralizednatureinhowUSCISfieldofficeshad independentlyprocuredITinfrastructure.BecauseITissocentraltoUSCIS operationsandabilitytofulfillitsmission,datedandobsoletetechnologyhasa negativeeffectonproductivity,customerservice,andsupportcosts. Whiledelayingrefreshmaydecreasecostsintheshortrun,thedelaycan increaseoperationalcostsinthelongrun.Outdatedinfrastructurecanleadto higherhardwarebasedfailurerates,increasedsoftwareconflicts,extended warrantyfees,andmorestaffhoursdedicatedtoendusersupport.Because USCIShashistoricallynothadacomprehensiverefreshprogramorastandard baselineofequipment,theagencyhasaccumulatedmultiplecomputer configurations.Themultipletypesofequipmentincreasethecomplexityofthe ITenvironmentbaselineandthusthetotalcostofownership.Additionally,IT Securityofficialstoldusthatinfrastructureandsecurityconcernsarelinked. OutdatedinfrastructurecausesvulnerabilitiesonUSCISinternalapplications. Thesevulnerabilities,whilenotyetexploited,arereflectedintheagencys FederalInformationSecurityManagementActScorecard. ITSystemUse USCISstaffmembersarenotalwayssureofwhichsystemstouseorwhich systemsareavailabletothemtocompletebusinessprocesses.Forexample,staff membersinsomelocationswerenotawarethattheyshouldbeusingtheArrival andDepartureInformationSystem(ADIS)duringtheadjudicationprocess.ADIS isaDHSOfficeofBiometricIdentityManagementsystemusedtocollectand maintainthearrivalanddepartureinformationofnonU.S.citizenstravelingto theU.S.Ahighlevelofficialinthefieldlearnedaboutthevalueofthesystem whenaFraudDetectionandNationalSecuritysupervisorbroughtittothe officialsattention.Seniorfieldofficialstoldustheyexperiencedanincreasein customerswithdrawalsofapplicationsforbenefitsafterimplementingtheuse



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ofADIS.Duetotheincreasedinformationadjudicatorswereabletogather,they hadafullerpictureoftheapplicant. Inaddition,somestaffmemberswerenotawarethattheymayqualifyforaccess tocertainsystems,suchasthePublicAccesstoCourtElectronicRecordssystem operatedbytheAdministrativeOfficeoftheU.S.Courts.Inonecase,aUSCIS employeeusedtheaccountinformationofaU.S.ImmigrationandCustoms Enforcementemployeetoaccessthecourtelectronicrecordssystembecause theemployeedidnotknowitwaspossibletogainaccessthroughUSCIS.Other staffmemberswithwhomwemetwerenotawareofsystemsavailabletothem, suchasformseditingsoftwareoradditionalbackgroundchecktools. Seniorfieldofficialswithwhomwemetexpressedconcernregardingnon standardsystemuse.Forexample,officialswereconcernedthatifeverysiteis notusingthesamesystems,applicantscouldtraveltodifferentfieldofficesto receivedifferentresults.Inaddition,suchasinthecaseofADIS,ifimmigration servicesofficersatdifferentsitesarenotaccessingthesameinformation, officerscouldbemissinginformationthatwouldhelpthemcarryoutUSCISgoal ofstrengtheningthesecurityandintegrityoftheimmigrationsystem. Recommendations WerecommendthattheChiefInformationOfficer,U.S.Citizenshipand ImmigrationServices:

Recommendation#3: CoordinatewiththeownersofELISandEDMStoensureusersareprovidedwith adequatetraining. Recommendation#4: DevelopandcommunicateaplanofactionandmilestonestorefreshoutdatedIT infrastructure,includingcomputers,printers,andsoftware. ManagementCommentsandOIGAnalysis TheActingDeputyDirector,U.S.CitizenshipandImmigrationServices,concurred withourrecommendationsandprovideddetailsonstepsbeingtakentoaddress specificfindingsandrecommendationsinthereport.Wehavereviewed



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managementscommentsandprovidedanevaluationoftheissuesoutlinedin thecommentsbelow. Inresponsetorecommendationthree,theActingDeputyDirectorconcurredand statedthatcoordinationandcommunicationbetweensystemownersand businessownersiscrucialtothesuccessofUSCISmeetingitsmission.TheActing DeputyDirectorstatedthat,withinUSCIS,respectiveprogramofficesare responsiblefortrainingusersontheITsystemsappropriatefortheindividuals jobfunction.However,OITsupportsthistrainingbyensuringthatusermanuals andtrainingdocumentsareuptodate.Additionally,OITcanprovide demonstrationsandtrainingsessionswiththeprogramofficestoensuresystems areusedtotheirfullextent.TheActingDeputyDirectorsaidthatOITexpectsto completeupdatestotheELISandtheEDMSusermanualsandtraining documentsbyNovember2014.Werecognizethisactionasapositivestep towardaddressingthisrecommendation.

Inresponsetorecommendationfour,theActingDeputyDirectorconcurredand statedthatsincetheissuanceofourdraftreport,OIThasmadeprogressin refreshingoutdatedworkstationsandperipherals.Inthecurrentcycle,OITisset tocompleteupgradesatallmajorServiceCentersbyAugust2014.Additionally, OITisexpandingitsWorkstationRefreshStrategy20132017toinclude infrastructure.ThenewTechnologyRefreshStrategy20142018goesbeyond theworkstationrefreshandalsoincludesaplanofactionandmilestonesfor updatingallIThardwareandinfrastructure.TheTechnologyRefreshStrategy 20142018willbecompletedbySeptember30,2014.Werecognizethisaction asaconstructivesteptowardaddressingthisrecommendationandlookforward tohearingmoreaboutcontinuedprogressinthefuture.


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AppendixA Objectives,Scope,andMethodology TheDHSOfficeofInspectorGeneral(OIG)wasestablishedbytheHomelandSecurityAct of2002(PublicLaw107296)byamendmenttotheInspectorGeneralActof1978.This isoneofaseriesofaudit,inspection,andspecialreportspreparedaspartofour oversightresponsibilitiestopromoteeconomy,efficiency,andeffectivenesswithinthe Department. Aspartofourongoingresponsibilitiestoassesstheefficiency,effectiveness,and economyofDepartmentalprogramsandoperations,weconductedanauditto determineUSCISprogressinestablishingkeyITmanagementcapabilitiestosupport missionneeds. WeresearchedandreviewedFederallaws,managementdirectives,andagencyplans andstrategiesrelatedtoITsystems,management,andgovernance.Weobtained publishedreports,documents,andnewsarticlesregardingUSCISmanagementanduse ofIT.Additionally,wereviewedrecentGAOandDHSOIGreportstoidentifyprior findingsandrecommendations.Weusedthisinformationtoestablishadatacollection approachthatconsistedoffocusedinformationgatheringmeetings,documentation analysis,sitevisits,andsystemdemonstrationstoaccomplishourauditobjectives. WeheldmeetingsandteleconferenceswithUSCISstaffatheadquartersandfield offices.Collectively,wemetwithmorethan170individuals,includingheadquarters officials,fieldofficestaff,andsystemusers,tolearnaboutUSCISITfunctions,processes, andcapabilities.Atheadquarters,wemetwiththeUSCISActingDeputyDirectorand stafffromtheManagementDirectorate,OfficeofTransformationCoordination, EnterpriseServicesDirectorate,andtheCustomerServiceandPublicEngagement Directorate.WemetwithUSCISOITofficialsincludingtheCIO,DeputyCIO,division directors,branchchiefs,andprogrammanagerstodiscusstheirrolesand responsibilitiesrelatedtoUSCISITmanagement.WemetwithstafffromOITofficesand divisions,includingEndUserServices,ResourceManagement,InformationSecurity, EnterpriseInfrastructure,andSystemsEngineering.Inaddition,wemetwithDHSOCIO staff. WevisitedUSCISfieldlocationsincludingtheCaliforniaServiceCenter,theVermont ServiceCenter,theWesternRegionOffice,theNortheastRegionOffice,theSanDiego DistrictOffice,theSanDiegoFieldOffice,theChulaVistaFieldOffice,andtheSt.Albans FieldOffice.AtUSCISfieldlocations,wemetwithservicecenterexecutivestaff,regional officemanagement,districtofficemanagement,fieldofficedirectors,immigration


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servicesofficers,immigrationanalysts,trainingandsupportstaff,immigrationofficers, ITspecialists,andothersystemuserstounderstandITdevelopmentpractices,user requirements,andsystemuseinthefield.WediscussedthecurrentITenvironmentand theextenttowhichitsupportsmissionneeds,localITdevelopmentpractices,anduser involvementandcommunicationwithheadquarters.Wecollectedsupporting documentsabouttheUSCISITenvironment,ITmanagementfunctions,Transformation, othercurrentinitiatives,andimprovementinitiatives. WeconductedthisperformanceauditbetweenSeptember2013andFebruary2014 pursuanttotheInspectorGeneralActof1978,asamended,andaccordingtogenerally acceptedgovernmentauditingstandards.Thosestandardsrequirethatweplanand performtheaudittoobtainsufficient,appropriateevidencetoprovideareasonable basisforourfindingsandconclusionsbaseduponourauditobjectives.Webelievethat theevidenceobtainedprovidesareasonablebasisforourfindingsandconclusions baseduponourauditobjectives. TheprincipalOIGpointofcontactforthisauditisRichardHarsche,ActingAssistant InspectorGeneralforInformationTechnologyAuditsandDirectorofInformation Management.MajorOIGcontributorstotheauditareidentifiedinappendixC.



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AppendixB ManagementCommentstotheDraftReport


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AppendixC MajorContributorstoThisReport RichardHarsche,ActingAssistantInspectorGeneral ElizabethArgeris,AuditManager SwatiNijhawan,SeniorProgramAnalyst AnnaHamlin,SeniorProgramAnalyst TheaCalder,SeniorProgramAnalyst RajPatel,ProgramAnalyst BridgetGlazier,Referencer


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AppendixD ReportDistribution

DepartmentofHomelandSecurity Secretary DeputySecretary ChiefofStaff DeputyChiefofStaff GeneralCounsel ExecutiveSecretary Director,GAO/OIGLiaisonOffice AssistantSecretaryforOfficeofPolicy AssistantSecretaryforOfficeofPublicAffairs AssistantSecretaryforOfficeofLegislativeAffairs Director,USCIS DeputyDirector,USCIS ChiefInformationOfficer,USCIS Liaison,USCIS ChiefPrivacyOfficer OfficeofManagementandBudget Chief,HomelandSecurityBranch DHSOIGBudgetExaminer Congress CongressionalOversightandAppropriationsCommittees,asappropriate


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Structure BookmarksDepartment of Homeland Security.Department of Homeland Security.2IFH.RI.,QVSHFWRU.*HQHUDO. U.S. Citizenship and Immigration Services .Information Technology Management .Progress and Challenges. U.S. Citizenship and Immigration Services .Information Technology Management .Progress and Challenges. FigureFigure Washington, DC 20528 / www.oig.dhs.gov

.. ..... July.3,.2014. . MEMORANDUM.FOR:.. Mark.Schwartz.. Chief.Information.Officer. U.S..Citizenship.and.Immigration.Services. . FROM:. Richard.Harsche.

Acting.Assistant.Inspector.General. Office.of.Information.Technology.Audits. . SUBJECT:. U.S..Citizenship.and.Immigration.Services.Information. Technology.Management.Progress.and.Challenges. . .. Attached.for.your.information.is.our.final.report,.U.S..Citizenship.and.Immigration. Services.Information.Technology.Management.Progress.and.Challenges..We. incorporated.the.formal.comments.from.the.U.S..Citizenship.and.Immigration.Services. (USCIS).in.the.final.report... . The.report.contains.four.recommendations.aimed.at.improving.USCIS.information. technology.management..Your.office.concurred.with.the.recommendations..As. prescribed.by.the.Department.oTechnology.Management.Progress.and.Challenges. . .. Attached.for.your.information.is.our.final.report,.U.S..Citizenship.and.Immigration. Services.Information.Technology.Management.Progress.and.Challenges..We. incorporated.the.formal.comments.from.the.U.S..Citizenship.and.Immigration.Services. (USCIS).in.the.final.report... . The.report.contains.four.recommendations.aimed.at.improving.USCIS.information. technology.management..Your.office.concurred.with.the.recommendations..As. [email protected]

appropriation.responsibility.over.the.Department.of.Homeland.Security..We.will.post. the.report.on.our.website.for.public.dissemination...

Figure. Please.call.me.with.any.questions,.or.your.staff.may.contact.Elizabeth.Argeris,.Audit. Manager,.at.(202).6320223.. . Attachment. .. 2. Figure. Table.of.Contents.. . Executive.Summary...............................................................................................................1. . Background...........................................................................................................................2. . Results.of.Audit.....................................................................................................................4. . IT.Management.Capabilities.Established.........................................Management.Comments.and.OIG.Analysis............................................................22. . Appendixes. .. Appendix.A:...Objectives,.Scope,.and.Methodology...............................................24.. Appendix.B:...Management.Comments.to.the.Draft.Report..................................26.. Appendix.C:...Major.Contributors.to.This.Report...................................................29.. Appendix.D:...Report.Distribution...........................................................................30.. . Abbreviations. Abbreviations. . ADIS.. Arrival.and.Departure.Information.System. CARB.. Component.Acquisition.Review.Board. CIO.. Chief.Information.Officer. CIV.SIT.. Customer.Identity.Verification.Secondary.Inspection.Tool. CLAIMS.3. Computer.Linked.Application.Information.Management.System.3. CLAIMS.4. Computer.Linked.Application.Information.Management.System.4. DHS.. . Department.of.Homeland.Security. EDMS.. Enterprise.Document.Management.System. ELIS.. Electronic.Immigration.System. EPMO.. Enterprise.Program.Management.Office. FY.. . OIG14112 www.oig.dhs.gov.

FigureOCIO.. Office.of.the.Chief.Information.Officer. OIG.. Office.of.Inspector.General. OIT.. Office.of.Information.Technology. OMB.. Office.of.Management.and.Budget. SELC.. systems.engineering.life.cycle. USCIS.. United.States.Citizenship.and.Immigration.Services. VAWA.. Violence.Against.Women.Act.of.1994. . . OIG14112 www.oig.dhs.gov.

. Executive.Summary.. . Information.technology.plays.a.critical.role.in.enabling.U.S..Citizenship.and.Immigration. Services.(USCIS).to.accomplish.its.mission..In.2009,.we.reported.that.insufficient. information.technology.staffing.and.limited.information.technology.budget.authority. impeded.the.Chief.Information.Officer..We.conducted.this.followup.audit.to.determine. USCIS.progress.in.establishing.key.information.technology.management.capabilities.to. support.mission.needs... . The.USCIS.Chief.InformaFigure1. OIG14112.. www.oig.dhs.gov.

. Background. . U.S..Citizenship.and.Immigration.Services.oversees.lawful.immigration.to.the.United. States..The.USCIS.mission.is.to.secure.Americas.promise.as.a.nation.of.immigrants.by:. . x providing.accurate.and.useful.information.to.its.customers,.. x granting.immigration.and.citizenship.benefits,.. x promoting.an.awareness.and.understanding.of.citizenship,.and.. x ensuring.the.integrity.of.the.U.S..immigration.system... . To.accomplish.its.mission,.USCIS.has.18,000.government.employees.and.contracFigure

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Figurex Office.of.the.Chief.of.Staff,. x Resource.Management.Division,. x Office.of.the.Chief.Technology.Officer,. x Information.Security.Division,. x Enterprise.Infrastructure.Division,. x End.User.Services.Division,.and. x Systems.Engineering.Division.. . . Figure.1..USCIS.OIT.Organizational.Structure.as.of.August.2013. . The.Chief.of.Staff.assists.OIT.in.delivering.IT.services.to.the.enterprise.through.managing. coordination.and.collaboration.across.the.organization..The.Resource.Management. Division.leads.the.development,.execution,.evaluation,.and.reporting.of.the.OIT.budget,. and.directs.and.manages.the.full.cycle.of.all.IT.acquisitions..The.Chief.Technology.Officer. provides.enterprise.architecture.guidance.to.deliver.IT.capabilities.and.technology. solu. 3. OIG14112.. www.oig.dhs.gov.

. OIT.is.responsible.for.designing,.developing,.and.integrating.all.IT.systems.that.support. USCIS.operations..Some.of.USCIS.major.IT.systems.and.programs.include.the.following:. . x Computer.Linked.Application.Information.Management.System.3.(CLAIMS.3).. This.legacy.immigration.case.tracking.and.processing.system.is.used.for. adjudicating.applications.and.petitions.for.immigration.benefits.and.services. other.than.naturalization,.refugee.status,.and.asylum... x Computer.Linked.Application.InformationFigure

SectSectPLink

. addition,.the.CIO.developed.an.enterprise.architecture.and.implemented.IT. acquisition.review.(ITAR).processes..The.CIO.also.implemented.a.systems. engineering.life.cycle.(SELC).process.to.manage.IT.programs..Further,.the.CIO.led. the.advancement.of.agile.methodologies.for.software.development..As.a.result,. critical.capabilities.exist.within.OIT.to.help.ensure.effective.IT.management.and. guide.future.initiatives.. . USCIS.OIT.has.also.made.progress.in.communicating.and.coordinating.internally. and.wFigurePLink

. . x increase.responsiveness.to.agency.needs.by.executing.projects.rapidly,. nimbly,.reliably,.and.efficiently,.using.best.practices.and.focusing.on. business.results,. x provide.an.infrastructure.and.architecture.that.are.aligned.with.the. future.needs.of.the.agency.and.Department,. x be.trustworthy.stewards.of.the.agencys.resources,. x support.Transformation.with.a.view.toward.making.the.Electronic. Immigration.System.the.center.of.OITs.future.architecture.and. processes,.and. x expand.OITs.footprFigure6. OIG14112.. www.oig.dhs.gov.

. ...Table.1..Alignment.of.USCIS.OIT.Goals.with.DHS.IT.Goals. FigureTableTR. USCIS.OIT.Goals.

TR. Goal.1. Goal.2. Goal.3. Goal.4. Goal.5.

DHS.IT. Goals. DHS.IT. Goals. Goal.1:..Establish.secure.IT.services.and. capabilities.to.protect.the.homeland.and. enhance.the.Nations.preparedness,. mitigation,.and.recovery.capabilities.. . . 9

. . 9

.

Goal.2:..Improve.secure.and.trusted. internal.and.external.information.sharing.. Goal.2:..Improve.secure.and.trusted. internal.and.external.information.sharing.. . . 9

. . 9

.

Goal.3:..Improve.transparency,. accountability,.and.efficiencies.of.services. and.programs.through.effective. governance,.program.management,.and. enterprise.architecture.. Goal.3:..Improve.transparency,. accountability,.and.efficiencies.of.services. and.programs.through.effective. governance,.program.management,.and. enterprise.architecture.. . 9

. . 9

. 9

. 9

Goal.4:..Transform.the.organizational. health.of.the.DHS.IT.community.by. developing.an.exceptional.workforce.that. will.function.effectively,.deliver.operational. Goal.4:..Transform.the.organizational. health.of.the.DHS.IT.community.by. developing.an.exceptional.workforce.that. will.function.effectively,.deliver.operational. excellence,.and.grow.from.within.. . To.provide.a.more.complete.vision,.OIT.also.drafted.a.Strategic.Human.Capital. Plan.and.a.USCIS.OIT.Enterprise.Architecture.Vision..The.Strategic.Human.Capital. Plan.provides.the.concept.for.how.OIT.will.develop,.recruit,.and.support.the.OIT. workforce.from.2013.through.2017..The.Enterprise.Architecture.Vision.illustrates. where.the.design.of.the.agencys.systems.will.move.during.that.period..OITs. development.of.the.Human.Capital.Plan.and.Enterprise.Architecture.Vision. . . 9

. .

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Figure. describes.the.current.architecture,.target.architecture,.and.transition.strategy. for.attaining.the.target.goals.and.objectives..An.enterprise.architecture.enables. leadership.to.prioritize.available.resources.to.support.mission.functions,.ensures. that.mission.requirements.drive.technology.investments,.and.identifies.current. capabilities.and.performance.gaps.as.well.as.projected.future.gaps... . The.USCIS.CIO.developed.and.implemented.an.enterprise.architecture.to.align. with.the.Departments.architectu9

. Figure.2..USCIS.Maturity.within.the.Enterprise.Architecture.Management. Maturity.Framework. . Since.2011,.the.Homeland.Security.Systems.Engineering.and.Development. Institute,.the.Departments.federally.funded.research.and.development.center,. .. .....................................................

.GAO10846G,.A.Framework.for.Assessing.and.Improving.Enterprise.Architecture.Management.(Version. 2.0),.August.2010.. 9

8. OIG14112.. www.oig.dhs.gov.

. has.conducted.independent,.objective.reviews.of.the.quarterly.status.reports.of. select.DHS.components..As.of.the.second.quarter.of.FY.2013,.the.Institute. independently.identified.the.USCIS.enterprise.architecture.program.at.stage.six. maturity..According.to.the.independent.assessment,.the.USCIS.enterprise. architecture.program.is.highperforming.and.extremely.mature... . IT.Acquisition.Review. . DHS.MD.0007.1.requires.component.CIOs.to.submit.IT.acquisitions.valued.at. $2.5.million.or.greater.to.theFigurePLink

FigureOffice.of.Transformation.Coordination,.the.Office.of.the.Chief.Financial.Officer,. and.the.investment.sponsor..Further,.the.USCIS.CIO,.or.the.Deputy.CIO,.and.the. Director.of.Management,.who.is.the.Component.Acquisition.Executive,.approve. IT.acquisitions.over.$150,000.. . Once.approved.by.the.CARB,.USCIS.IT.acquisition.requests.totaling.$2.5.million. or.more.are.submitted.to.the.DHS.Office.of.the.Chief.Information.Officer.(OCIO). for.approval..The.DHS.OCIO.reviews.each.acquisition.from.an.enterprise.busine. A.synopsis.of.the.acquisition.is.then.provided.to.the.DHS.OCIO.and.management. for.final.review.and.approval..In.FY.2013,.USCIS.submitted.51.acquisition. requests.to.the.DHS.OCIO.for.approval.. . Systems.Engineering.Life.Cycle. .. DHS.Acquisition.Instruction/Guidebook.#10201001,.Appendix.B,.requires. agencies.to.follow.a.SELC.process..The.purpose.of.the.DHS.SELC.is.to.establish.a. standard.system.life.cycle.framework.across.DHS.agencies.and.to.ensure.that. DHS.IT.capabilities.are.delivered.efficiently.a1112

.. .DHS.Acquisition.Instruction/Guidebook.#10201001,.Appendix.B,.Interim.Version.2.0,.September.21,. 2010.. .United.States.Citizenship.and.Immigration.Service.Systems.Engineering.Life.Cycle.Guide,.Version.2.0,. January.24,.2011.. .....................................................1112


Figure. Figure.3..USCIS.SELC.Stages. . The.OIT.Enterprise.Program.Management.Office.(EPMO).manages.and.maintains. the.USCIS.SELC..EPMO.staff.assist.business.owners,.project.managers,. infrastructure.liaisons,.or.anyone.leading.a.project,.change,.or.release.initiative. to.clarify.life.cycle.requirements,.provide.templates,.and.generally.guide. programmatic.activities.associated.with.SELC.compliance..Additionally,.EPMO. representatives.provide.guidance.in.crafting.an.appropriate.Project.Tailoring. Plan,.developing.SectTableSectPLink

.. .USCIS.Management.Instruction.CISOIT001,.Agile.Development.Policy,.April.10,.2013.. .. .USCIS.Management.Instruction.CISOIT001,.Agile.Development.Policy,.April.10,.2013.. .....................................................13


Figure. leveraging.DHS.cloud.asaservice.offerings,.which.reduce.costs.and.improve. overall.service.levels.. . The.USCIS.CIO.provided.agile.development.training.to.USCIS.staff..For.example,. to.facilitate.the.change.internally,.the.CIO.brought.in.agile.coaches.to.train.OIT. staff;.operational.staff,.such.as.program.managers.in.the.Customer.Service.and. Public.Engagement.Directorate.and.the.Office.of.Transformation.Coordination;. and.USCIS.leadership..Other.forms.of.training.include.brown.bag.sessions,.in house.classes,.recommended.reading.lists,.and.agile.training.events.. . USCIS.OIT.used.agile.methods.to.deliver.14

.. .Waterfall.development.methodology.is.a.highly.structured.development.process.where.all.stages.must. be.conducted.sequentially.until.all.requirements.are.fulfilled.in.a.complete.system.. .....................................................14


. agile.approaches.to.support.the.agency.better.in.its.goals,.such.as.completing. the.USCIS.Transformation.effort.. . Communication. . According.to.DHS.MD.0007.1,.IT.integration.and.management.require.strong. communication... . The.CIO.increased.communication.channels.within.OIT.and.with.internal.USCIS. customers..Specifically,.each.week,.the.CIO.meets.with.senior.OIT.staff.to.discuss. OITs.key.priorities..Additionally,.the.Deputy.CIO.meets.with.senior.OIT.staff.to. discuss.in.detail.operational.concerFigurePLink

Figure

. Challenges.with.Communication.and.Coordination. . Challenges.with.Communication.and.Coordination. . Although.communication.has.increased,.USCIS.OIT.still.faces.challenges.in. coordinating.across.OIT.divisions..Staff.with.whom.we.met.at.headquarters.and. in.the.field.noted.a.need.for.more.communication,.collaboration,.and. coordination.within.the.OIT.organization..For.example,.when.a.new.contractor owned.facility.in.Kentucky.was.being.set.up,.the.Enterprise.Infrastructure. Division.was.informed.in.July.2013.that.it.was.responsible.for.making.the.new. site.operational.in.90.to.120.days..This.task.include14. OIG14112.. www.oig.dhs.gov.

. Communication,.coordination,.and.collaboration.gaps.within.OIT.are.due.in.part. to.senior.level.staff.vacancies..At.the.time.of.our.fieldwork,.OITs.Chief.of.Staff. and.Chief.Technology.Officer.positions.were.both.vacant,.making.it.more.difficult. for.OIT.to.increase.organizational.coordination.and.control..Limited. communication.and.coordination.can.hinder.USCIS.ability.to.support.mission. needs,.to.use.and.allocate.resources.most.effectively,.and.to.foster.a.sense.of. collaboration.and.morale.. .. FigurePLink

Figure. communicated.via.an.agencywide.electronic.newsletter..We.recognize.this. action.as.a.positive.step.toward.addressing.this.recommendation.and.look. forward.to.learning.more.about.continued.progress.in.the.future.. . In.response.to.recommendation.two,.the.Acting.Deputy.Director.concurred.and. stated.that.OIT.has.made.significant.progress.in.addressing.senior.level.staffing. vacancies..OIT.selected.a.new.Chief.of.Staff,.who.is.currently.going.through.pre employment.clearance.processes..OIT.is.also.interviewi. The.CIO.faces.challenges.in.ensuring.that.the.IT.environment.fully.supports.USCIS. mission.needs..Specifically,.the.systems.do.not.fully.provide.desired. functionality..System.reliability.is.also.a.challenge..The.limited.IT.functionality. and.reliability.experienced.by.users.stem.from.challenges.with.infrastructure. planning..As.a.result,.benefits.processing.and.determinations.on.applications.for. benefits.might.be.delayed.. . In.addition,.staff.members.are.not.always.sure.which.systems.to.use.or.which. s

IT.Functionality. IT.Functionality. . According.to.DHS.MD.0007.1,.the.Component.CIO.is.responsible.for.the.timely. delivery.of.mission.IT.services.in.direct.support.of.component.mission,.goals,. objectives,.and.programs..Further,.the.Component.CIO.is.responsible.for. acquiring,.developing,.operating,.and.maintaining.all.mission.related.systems. 16. OIG14112.. www.oig.dhs.gov.

. and.services..In.addition,.according.to.the.Paperwork.Reduction.Act.of.1995,. agencies.are.required.to.promote.the.use.of.IT.to.improve.the.productivity,. efficiency,.and.effectiveness.of.agency.programs,.including.the.reduction.of. information.collection.burdens.on.the.public.15. . USCIS.IT.systems.do.not.fully.provide.the.functionality.needed.to.support.its. mission..For.example,.as.part.of.its.Transformation.program,.USCIS.created.ELIS,. an.electronic.immigration.system..The.aim.of.ELIS.is.to.provFigurePLink

. use.the.information.to.complete.their.job.functions,.such.as.adjudicating. requests.for.Temporary.Protected.Status.17. .. Digitization.of.the.files.in.EDMS.reduces.the.document.delivery.time,.as.the.files. do.not.have.to.be.shipped.across.USCIS.locations..However,.staff.said.that.using. EDMS.is.burdensome..Each.document.is.a.separate.file.that.can.take.30.seconds. or.more.to.load,.and.staff.members.are.able.to.look.at.only.one.document.at.a. time..In.addition,.documents.are.not.searchable..The.file.naFigurePLink

Figure. EDMS.can.be.extremely.dire.if.a.VAWA.applicant.is.harmed.by.an.abuser.while. awaiting.adjudication.. . OIT.and.program.leadership.indicated.that.users.may.face.difficulties.with.ELIS. and.EDMS.because.these.users.feel.uncomfortable.switching.from.paperbased. processes.to.systembased.processes..In.addition,.since.staff.may.not.use.ELIS.or. EDMS.on.a.frequent.basis,.users.may.be.unaware.of.new.system.features,.such. as.the.option.to.load.images.more.quickly.in.EDMS..Staff.members.who.use.the. systems.infr19. OIG14112.. www.oig.dhs.gov.

Figure. equipment.varied.across.locations,.it.was.difficult.to.pinpoint.system.issues.and. fixes.. . In.September.2013,.CIV.SIT.redeployed.successfully..However,.challenges.with. CIV.SIT.continued,.and.senior.staff.said.that.USCIS.is.considering.new.solutions.. Staff.said.that.CIV.SIT.sometimes.dropped.or.did.not.capture.key.biometric. information..As.a.result,.staff.must.spend.time.locating.the.missing.information.. In.one.instance,.the.adjudicator.submitted.a.request.for.missing.information.on. a.Monday.and.waite.. Infrastructure.Planning.. . A.limited.IT.refresh.plan.and.historical.challenges.with.standardizing.and.funding. IT.infrastructure.contributed.to.problems.with.system.functionality.and. reliability..USCIS.OIT.has.yet.to.implement.a.full.IT.refresh.plan.that.includes. workstations,.printers,.and.other.IT.equipment..Upper.level.management.within. USCIS.and.OIT.acknowledged.that.OIT.struggled.with.refresh.planning..Staff.with. whom.we.met.said.that.USCIS.was.too.reactive.in.regards.to.refreshes.and.could. be.more.proactive.in.planning..20. OIG14112.. www.oig.dhs.gov.

. as.CLAIMS.3.and.CLAIMS.4,.are.reliant.on.older.operating.systems.and.are. incompatible.with.Windows.7.. . USCIS.and.OIT.management.are.aware.of.the.need.for.comprehensive. infrastructure.planning.and.a.formal.refresh.plan.beyond.workstations..A.USCIS. official.said.that.OIT.had.challenges.with.producing.a.plan.with.dates.and. milestones.for.the.Windows.7.deployment.due.to.a.need.for.increased. coordination.between.OIT.divisions..In.addition,.members.of.OIT.management. said.that.funding.was.one.of.the.Figure

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. of.ADIS..Due.to.the.increased.information.adjudicators.were.able.to.gather,.they. had.a.fuller.picture.of.the.applicant.. . In.addition,.some.staff.members.were.not.aware.that.they.may.qualify.for.access. to.certain.systems,.such.as.the.Public.Access.to.Court.Electronic.Records.system. operated.by.the.Administrative.Office.of.the.U.S..Courts..In.one.case,.a.USCIS. employee.used.the.account.information.of.a.U.S..Immigration.and.Customs. Enforcement.employee.to.access.the.court.electronic.records.systemFigure

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Figuremanagements.comments.and.provided.an.evaluation.of.the.issues.outlined.in. the.comments.below.. . In.response.to.recommendation.three,.the.Acting.Deputy.Director.concurred.and. stated.that.coordination.and.communication.between.system.owners.and. business.owners.is.crucial.to.the.success.of.USCIS.meeting.its.mission..The.Acting. Deputy.Director.stated.that,.within.USCIS,.respective.program.offices.are. responsible.for.training.users.on.the.IT.systems.appropriate.for.the.individuals. job.function..However,23. OIG14112.. www.oig.dhs.gov.

Figure

. Appendix.A. Objectives,.Scope,.and.Methodology. . Appendix.A. Objectives,.Scope,.and.Methodology. . The.DHS.Office.of.Inspector.General.(OIG).was.established.by.the.Homeland.Security.Act. of.2002.(Public.Law.107296).by.amendment.to.the.Inspector.General.Act.of.1978..This. is.one.of.a.series.of.audit,.inspection,.and.special.reports.prepared.as.part.of.our. oversight.responsibilities.to.promote.economy,.efficiency,.and.effectiveness.within.the. Department.. . As.part.of.our.ongoing.responsibilities.to.assess.the.efficiency,.effectiveness,.and. economy.of.Departmental.programs.and.operations,.we.conducte24. OIG14112.. www.oig.dhs.gov.

.. services.officers,.immigration.analysts,.training.and.support.staff,.immigration.officers,. IT.specialists,.and.other.system.users.to.understand.IT.development.practices,.user. requirements,.and.system.use.in.the.field..We.discussed.the.current.IT.environment.and. the.extent.to.which.it.supports.mission.needs,.local.IT.development.practices,.and.user. involvement.and.communication.with.headquarters..We.collected.supporting. documents.about.the.USCIS.IT.environment,.IT.management.functions,.TransformaFigure25. OIG14112.. www.oig.dhs.gov.

Figure

. Appendix.B. Management.Comments.to.the.Draft.Report. . Appendix.B. Management.Comments.to.the.Draft.Report. . . . 26. OIG14112.. www.oig.dhs.gov.

Figure. . . 27. OIG14112.. www.oig.dhs.gov.

Figure. . . . 28. OIG14112.. www.oig.dhs.gov.

Figure

Appendix.C. Major.Contributors.to.This.Report.. Appendix.C. Major.Contributors.to.This.Report.. . Richard.Harsche,.Acting.Assistant.Inspector.General. Elizabeth.Argeris,.Audit.Manager. Swati.Nijhawan,.Senior.Program.Analyst. Anna.Hamlin,.Senior.Program.Analyst. Thea.Calder,.Senior.Program.Analyst. Raj.Patel,.Program.Analyst. Bridget.Glazier,.Referencer. 29. OIG14112.. www.oig.dhs.gov.

Figure

Appendix.D.. Report.Distribution.. Appendix.D.. Report.Distribution.. . .... . Secretary.. Deputy.Secretary. Chief.of.Staff... Deputy.Chief.of.Staff. General.Counsel. Executive.Secretary.. Director,.GAO/OIG.Liaison.Office. Assistant.Secretary.for.Office.of.Policy. Assistant.Secretary.for.Office.of.Public.Affairs. Assistant.Secretary.for.Office.of.Legislative.Affairs. Director,.USCIS. Deputy.Director,.USCIS. Chief.Information.Officer,.USCIS. Liaison,.USCIS. Chief.Privacy.Officer. . Department.of.Homeland.Security

... ... Office.of.Management.and.Budget

. Chief,.Homeland.Security.Branch.. DHS.OIG.Budget.Examiner. . ... . Congressional.Oversight.and.Appropriations.Committees,.as.appropriate. Congress

. 30. OIG14112.. www.oig.dhs.gov.

ADDITIONAL INFORMATION To view this and any of our other reports, please visit our website at: . www.oig.dhs.gov

For further information or questions, please contact Office of Inspector General (OIG) Office of Public Affairs at: , or follow us on Twitter at: @dhsoig. [email protected]

OIG HOTLINE To expedite the reporting of alleged fraud, waste, abuse or mismanagement, or any other kinds of criminal or noncriminal misconduct relative to Department of Homeland Security (DHS) programs and operations, please visit our website at and click on the red tab titled "Hotline" to report. You will be directed to complete and submit an automated DHS OIG Investigative Referral Submission Form. Submission through our website ensures that your complaint will be promptly received and reviewed by DHS OIG. www.oig.dhs.gov

Should you be unable to access our website, you may submit your complaint in writing to: Department of Homeland Security .Office of Inspector General, Mail Stop 0305 .Attention: Office of Investigations Hotline .245 Murray Drive, SW .Washington, DC 20528-0305 .You may also call 1(800) 323-8603 or fax the complaint directly to us at (202) 254-4297. The OIG seeks to protect the identity of each writer and caller.

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Department of Homeland Security 2IÀFH RI … of Homeland Security ... Attached for your information is our final report, U.S ... Information Management System 3 CLAIMS 4 Computer