Improvements Needed 

to Promote DHS 

Progress toward 

Accomplishing 

Enterprise-wide Data 

Goals 

August 14, 2017 

OIG-17-101 
DHS OIG HIGHLIGHTS
 

Improvements Needed to Promote DHS

Progress toward Accomplishing Enterprise-wide Data Goals 

 

 

 

August 14, 2017 

Why We 

Did This 

Audit 

In August 2016, the 

Department of Homeland 

Security (DHS) issued the 

Enterprise Data Strategy 

as a guide for managing 

its data as an asset. We 

performed this audit to 

determine the status of 

DHS’ implementation of 

the data strategy and 

whether it is effectively 

coordinating component 

data investments to 

support mission 

accomplishment. 

What We 

Recommend 

We made two 

recommendations to DHS 

on the improvements 

needed to promote data 

strategy implementation 

and better coordinate 

component data 

investments. 

For Further Information: 

Contact our Office of Public Affairs at 

(202) 254-4100, or email us at 

DHS-OIG.OfficePublicAffairs@oig.dhs.gov 

What We Found 

As of April 2017, DHS had begun implementing only 4 of 23 

strategic objectives of its Enterprise Data Strategy. It had not 

taken steps to finalize activities, assign responsibilities, 

define outcomes, and establish timelines for addressing the 

remaining 19 objectives. DHS delayed finalizing its plans for 

implementing many of the strategic objectives in the data 

strategy until late fiscal year 2017 to avoid duplication with 

planning for related information sharing efforts. Finalizing 

the implementation plans will be essential for DHS to 

progress in executing its strategy for ensuring 

standardization, interoperability, accessibility, and inventory 

of its data assets department-wide. 

Further, the Department faces challenges implementing the 

data strategy due to its broad scope and the complex 

coordination it entails. The Department has instituted a 

number of initiatives and working groups that have been 

effective in coordinating and monitoring data investments 

across components to help them achieve their respective 

missions. However, component officials identified a number 

of areas where the Department could provide additional 

assistance, such as furthering data integration, and 

providing common tools to support DHS-wide data analysis 

and management. Providing the additional assistance needed 

to coordinate component data investments may spur 

Department progress toward meeting its enterprise-wide data 

goals. 

DHS Management Response 

In its written comments in response to a draft of this report, 

DHS concurred with both of our recommendations and 

discussed corrective actions underway to address them. 

www.oig.dhs.gov OIG-17-101 
OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

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

August 14, 2017 

MEMORANDUM FOR: 	 David A. Grannis 

Principal Deputy Under Secretary 

Office of Intelligence and Analysis 

Stephen Rice 

Acting Chief Information Officer 

1;rageJ.~¥.:·r ct te

FROM: ~aF.McCau 

Assistant Inspec r General 

Information Technology Audits 

SUBJECT: 	 Improvements Needed to Promote DHS Progress toward 

Accomplishing Enterprise-wide Data Goals 

For your action is our final report, Improvements Needed to Promote DHS 

Progress toward Accomplishing Enterprise-wide Data Goals. We incorporated 

the formal comments provided by your office. 

The report contains 2 recommendations aimed at improving the Department's 

implementation of its Enterprise Data Strategy and coordination of Component 

data efforts. Your offices concurred with both recommendations. Based on 

information provided in your response to the draft report, we consider both 

recommendations open and resolved. Once your offices have fully implemented 

the recommendations, please submit a formal closeout letter to us within 30 

days so that we may close the recommendations. The memorandum should be 

accompanied by evidence of completion of agreed-upon corrective actions 

Please send your closure request to OIGITAuditsFollowup@oig.dhs.gov. 

Consistent with our responsibility under the Inspector General Act, we will 

provide copies of our report to congressional committees with oversight and 

appropriation responsibility over the Department of Homeland Security. We will 

post the report on our website for public dissemination. 

Please call me with any questions, or your staff may contact Tuyet-Quan Thai, 

Director of Data Analytics and Support, at (425) 582-7861. 

www.oig.dhs.gov 	 OIG-17- 101 
 

 

OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

Background 

Office of Management and Budget (OMB) Memorandum M-13-13, Open Data 

Policy – Managing Information as an Asset, dated May 2013, requires executive 

departments and agencies to manage information as an asset through its 

lifecycle to increase operational efficiencies, reduce costs, improve services, 

support mission needs, and safeguard personal information. The memorandum 

contains specific requirements for data standardization, stewardship, 

interoperability, accessibility, and inventory. 

Within the Department, Directive 262-05, Information Sharing and 

Safeguarding, September 2014, requires Department of Homeland Security 

components to share information as one Department, and requires 

components, to the greatest extent possible, to standardize the technology used 

in systems to categorize, access, exchange, and manage information in 

automated systems to support the Department’s missions. Established in 

2011, the Information Sharing and Safeguarding Governance Board (ISSGB) 

serves as the steering committee and decision-making body for DHS 

collaboration on information sharing and safeguarding issues. The ISSGB will 

coordinate with, but not preempt the authority of, the Homeland Security 

Intelligence Council or authorities of any DHS component or office under 

statute or Executive Order. The ISSGB, to the extent required, will issue 

management directives that clarify and streamline implementation and 

execution of the information sharing and safeguarding mission. The ISSGB 

charter operationalizes DHS Directive 262-05 by authorizing the ISSGB to 

oversee the Department’s data sharing efforts. The Under Secretary for 

Intelligence and Analysis heads the ISSGB while representatives of all major 

DHS components serve as voting members. 

In September 2015, DHS issued a one-page overview of its proposed data 

strategy, outlining objectives that address many of the elements of the OMB 

Memorandum. In August 2016, the Undersecretary for Intelligence and 

Analysis (I&A) formally signed DHS’ Enterprise Data Strategy. The ISSGB is 

responsible for development, coordination, governance, and implementation of 

the Enterprise Data Strategy. The purpose of the Enterprise Data Strategy is to 

“present a clearly defined, actionable roadmap and strategic approach to drive 

departmental resources toward innovative and effective data management, 

sharing, safeguarding, and integration in order to fully leverage the 

Department’s data assets towards mission operations, strategic planning, 

resource management, and analytics.” To accomplish this vision, the Enterprise 

Data Strategy outlines the following five major goals for managing and using 

data. 

1. Improve data quality through collective governance 

2. Organize data for effective mission use 

3. Ensure data is interoperable and that data rules are understood 

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OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

4. Ensure secure data platforms that meet mission demands 

5. Attract and develop a skilled data workforce 

The five goals are further divided into 23 strategic objectives that range from 

streamlining and documenting data access processes, to implementing an 

enterprise data dictionary, to establishing a professional multi-disciplinary 

data workforce. 

In 2012, the Government Accountability Office (GAO) reported that 

establishment of the ISSGB had enhanced collaboration among DHS 

components. However, the report noted that a strategy for information sharing 

and related implementation plans would be important to managing efforts in 

that area.1 GAO made five recommendations to the Secretary of DHS to 

improve data sharing and management. As of May 2017, all five 

recommendations were closed. 

The Joint Explanatory Statement of the Consolidated Appropriations Act, 2016 

(Public Law 114–113) mandated that by September 2016, the DHS Office of the 

Inspector General review the Department’s data strategy and inventory 

component data investments to ensure the investments are coordinated and 

effective. In August 2016, we provided a preliminary response to Congress that 

DHS had not yet signed or implemented its data strategy, and agreed to follow 

up at a later date. The objective of this audit was to determine the status of 

DHS’ implementation of its data strategy and whether it is effectively 

coordinating component data investments to support mission accomplishment. 

Results of Audit 

As of April 2017, DHS was in the process of implementing only 4 of 23 strategic 

objectives of its Enterprise Data Strategy. It had not taken steps to finalize 

activities, assign responsibilities, define outcomes, and establish timelines for 

addressing the remaining 19 objectives. DHS delayed finalizing its plans for 

implementing many of the strategic objectives in the data strategy until late 

fiscal year 2017 to avoid duplication with planning for related information 

sharing efforts. Finalizing the implementation plans will be essential for the 

Department to progress in executing its strategy for ensuring standardization, 

interoperability, accessibility, and inventory of its data assets department-wide. 

Further, the Department faced challenges implementing the data strategy due 

to its broad scope and the complex coordination it entailed. The Department 

established working groups that were effective in coordinating and monitoring 

data investments and initiatives across components to help them achieve their 

respective missions. Component officials identified a number of areas where 

1Information Sharing: DHS Has Demonstrated Leadership and Progress, but Additional Actions 

Could Help Sustain and Strengthen Efforts, (GAO-12-809, September 18, 2012). 

www.oig.dhs.gov 3 OIG-17-101 
 

OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

the Department could provide additional assistance, such as furthering data 

integration, and providing common tools to support DHS-wide data analysis 

and management. Providing the additional assistance needed to coordinate 

component data investments may spur Department progress toward meeting 

its enterprise-wide data goals. 

DHS Has Made Limited Progress in Implementing Its Data Strategy 

DHS has a long way to go toward implementing its data strategy. As of April 

2017, DHS had begun implementing only 4 of 23 strategic objectives of its 

Enterprise Data Strategy. To avoid duplication with related planning efforts, 

DHS officials indicated they had not taken steps to finalize its implementation 

plans for addressing the remaining 19 objectives. Finalizing the implementation 

plans will be critical for DHS to progress in executing its strategy for ensuring 

standardization, interoperability, accessibility, and inventory of its data assets 

department-wide. 

Activities Underway to Address 4 of 23 Data Strategy Objectives 

DHS has yet to take the steps necessary to implement most of its Enterprise 

Data Strategy objectives. As previously stated, the ISSGB is responsible for 

development, coordination, governance, and implementation of the Enterprise 

Data Strategy. After the data strategy was signed in August 2016, the ISSGB 

assigned many of its implementation activities to the Enterprise Data 

Management Office (EDMO) within the DHS Office of the Chief Information 

Officer (OCIO). The ISSGB holds quarterly meetings to monitor data sharing 

efforts and track progress in information integration and sharing efforts within 

the department. 

As of April 2017, EDMO officials reported that DHS had begun addressing only 

4 of the 23 strategic objectives of the Enterprise Data Strategy. Table 1 lists the 

current status of the Enterprise Data Strategy’s objectives. As shown in the 

table, the four objectives underway included prescribing a data management 

process, using standardized master reference data, inventorying datasets and 

data systems, and identifying authoritative data sources. These four strategic 

objectives fall under the first two overarching goals of the data strategy. 

www.oig.dhs.gov 4 OIG-17-101 
 

 

 

Goal 1: Improve data quality through collective governance 

Strategic Objective Office Assigned Milestone (Timeline) 

1.1 Establish a prescribed data management 

process. 

OCIO/ EDMO/ 

Master Reference 

Data Working 

Group (MRDWG) 

o Promote broader adoption and 

implementation of the Data 

Stewardship Framework (ongoing) 

1.2 Improve data governance. Not Assigned Not Defined 

1.3 Streamline data access. Not Assigned Not Defined 

1.4 Improvement data system procurement. Not Assigned Not Defined 

1.5 Use standardized master reference data. OCIO/ EDMO/ 

MRDWG 

o Establish master reference data 

lists for high impact DHS 

reference data (Q3 FY 2017) 

o Complete a Data Governance Tool 

Pilot (Q3 FY 2017) 

o Stand up Data Governance Tool 

for high impact DHS reference 

data (Q4 FY 2017) 

Goal 2: Organize data for effective mission use 

Strategic Objective Office Assigned Milestone (Timeline) 

2.1 Inventory datasets and data systems in DHS. OCIO/ EDMO/ 

DMWG 

o Maintain and grow the inventory 

of data assets (ongoing) 

2.2 Publish department-wide data standards. Not Assigned Not Defined 

2.3 Identify authoritative data sources. OCIO/ EDMO/ 

DMWG 

o Identify Authoritative and/or 

Trusted Data as part of the 

department’s Enterprise Data 

Inventory (ongoing) 

2.4 Implement an enterprise-wide data dictionary. Not Assigned Not Defined 

2.5 Conduct regular data quality audits. Not Assigned Not Defined 

2.6 Develop data and enterprise access services. Not Assigned Not Defined 

Goal 3: Ensure data is interoperable and that data rules are understood 

Strategic Objective Office Assigned Milestone (Timeline) 

3.1 Develop an interoperable data exchange across 

the Homeland Security Enterprise. 

Not Assigned Not Defined 

3.2 Maintain guidance for data exchange, access 

and interoperability. 

Not Assigned Not Defined 

3.3 Provide data management and analytical tools 

for mission users. 

Not Assigned Not Defined 

3.4 Establish enterprise-level data services. Not Assigned Not Defined 

3.5 Establish common data tagging standards. Not Assigned Not Defined 

Goal 4: Ensure secure data platforms that meet mission demands 

Strategic Objective Office Assigned Milestone (Timeline) 

4.1 Increase information sharing and data sharing 

technology. 

Not Assigned Not Defined 

4.2 Deploy enterprise services for cross-mission use 

of DHS data. 

Not Assigned Not Defined 

4.3 Improve understanding of current data 

technology, and identify tools for data 

dissemination. 

Not Assigned Not Defined 

Goal 5: Attract and develop a skilled data workforce 

Strategic Objective Office Assigned Milestone (Timeline) 

5.1 Establish a multi-disciplinary data workforce. Not Assigned Not Defined 

5.2 Implement data analytics and data management 

training programs. 

Not Assigned Not Defined 

5.3 Ensure privacy, Freedom of Information Act, 

records management, and legal e-discovery 

training. 

Not Assigned Not Defined 

5.4 Hire and retain specialized data analyst, 

statisticians, and database managers. 

Not Assigned Not Defined 

OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

Table 1: Milestones to Address DHS Enterprise Data Strategy Objectives, as of 

April 2017 

Source: DHS Enterprise Data Strategy and DHS Information Sharing and Safeguarding 

Strategy Implementation Plan FY 2017 Update. 

www.oig.dhs.gov 5 OIG-17-101 
 

 

OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

EDMO officials attributed the progress made on the four strategic objectives to 

activities they had undertaken before the Enterprise Data Strategy was 

formalized in August 2016. Although no more or less important than the 

remaining 19, the 4 strategic objectives represented activities that were already 

ongoing and could be leveraged to help execute the data strategy. Some of the 

activities dated as far back as 2008. These activities included EDMO 

developing a data inventory and beginning to identify master reference data at 

DHS as part of its broader responsibilities. 

Implementation Plans Not Developed to Address the Remaining 19 Strategic 

Objectives 

As Table 1 shows, as of April 2017 the ISSGB had not assigned responsibilities 

or established timelines for accomplishing the remaining 19 of the 23 strategic 

objectives. The ISSGB and the OCIO were developing a matrix of specific 

actions required to address the 19 objectives, such as training and 

development of standard operating procedures for common data issues. 

Nevertheless, the matrix still needed to be finalized and approved by the 

ISSGB. 

According to ISSGB and OCIO officials, to avoid duplication with related 

planning to develop a new Information Sharing and Safeguarding Strategy, they 

expected to publish implementation plans for the 19 data strategy objectives in 

late FY 2017. Finalizing the implementation plans will be critical for DHS to 

further progress in executing its strategy for ensuring standardization, 

interoperability, accessibility, and inventory of its data assets department-wide. 

DHS Faces Coordination Challenges in Implementing Its Data Strategy 

Extensive coordination will be critical to implement the complex goals and 

objectives of the Enterprise Data Strategy department-wide. The Department 

has instituted a number of initiatives and working groups that have been 

effective in coordinating component data investments and helping them achieve 

their respective missions. However, component officials have identified 

additional areas where effort is needed to coordinate component activities 

across the Department and spur progress toward meeting shared data 

management goals. 

Coordination Challenges 

The broad, complex goals and objectives of the Enterprise Data Strategy are 

multi-year efforts that require concerted participation across DHS. For 

example, goal 3 of the data strategy requires DHS to establish enterprise-wide 

data services for interoperability and create a data exchange across the 

Homeland Security Enterprise. Goal 4 of the data strategy requires the 

Department to increase its information sharing through the use of enterprisewww.oig.dhs.gov 6 OIG-17-101 
 

 

OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

wide services that allow data to be shared among the Department’s missions. 

Additionally, goal 5 of the data strategy addresses the Department’s need for a 

data workforce and calls for the Department to hire, train, and retain new data 

workers. The ISSGB will have to coordinate across DHS and its components to 

fulfill these extremely broad goals. 

As previously stated, much of the progress made in 4 of the 23 objectives of the 

Enterprise Data Strategy has been achieved through the initiative of just two 

DHS organizations: I&A, which heads the ISSGB, and OCIO, which established 

EDMO. Based on its charter, the ISSGB relies on voluntary participation from 

the individual DHS components and program offices. As such, the ISSGB will 

face coordination challenges as it undertakes new and additional efforts to 

implement all Enterprise Data Strategy objectives across DHS components. 

Ensuring component involvement will require tremendous ISSGB effort to 

secure buy-in, form partnerships, coordinate activities, and provide oversight 

to ensure continued data management progress DHS-wide. 

Effective Activities to Coordinate Component Data Investments 

Despite its charter limitations, the ISSGB has taken several effective steps to 

coordinate component data investments. One component official observed that 

the ISSGB had streamlined the process for quicker review and approval of 

information sharing agreements between DHS components and external 

agencies. For example, the ISSGB facilitated review and approval of a sharing 

agreement between a DHS component and the Federal Bureau of Investigation 

that reduced the processing time from 3 months to less than 1 month. 

Similarly, the official stated that internal agreements between DHS components 

were also cleared quickly due to ISSGB oversight and efforts to streamline 

data-sharing approval processes. 

Further, in coordination with its I&A and OCIO partners, the ISSGB has 

overseen initiatives related to data integration and sharing to help components 

achieve their missions. DHS component officials cited two such data 

integration initiatives as examples that show great promise. First, officials 

discussed the DHS Data Framework, a project designed to provide DHS and 

approved external users with near real-time access to person-centric travel and 

immigration data for analytical purposes in classified and unclassified 

environments. The Data Framework has ingested information from nine data 

systems owned by U.S. Customs and Border Protection, U.S. Immigration and 

Customs Enforcement, the Transportation Security Administration, United 

States Coast Guard, and United States Citizenship and Immigration Services. 

Based on user feedback, DHS has focused on a data quality initiative to ensure 

the data can be used to support key operational decisions. By the end of FY 

2017, DHS expects to ingest a total of 20 datasets into the Data Framework. As 

of July 2017, the framework interface was in use by U.S. Customs and Border 

Protection and I&A staff, with Transportation Security Administration users 

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OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

expected to come online in the near term.. One component official stated that, 

once fully implemented, the Data Framework will provide an unprecedented 

level of high-value vetting information that will greatly enhance the 

component’s efforts to safeguard the homeland and secure its borders. 

Second, component officials discussed the OCIO Management Cube overseen 

by the Data Management Working Group as another initiative with great 

promise. OCIO officials designed this reporting tool to integrate the 

Department’s financial, acquisition, human capital, contracting, asset, and 

security data to support analysis and decision-making. The Management Cube 

was designed to allow analysts to explore trends and relationships across 

datasets in areas such as real estate planning, investment portfolio 

management, and workforce planning. OCIO officials anticipated that, along 

with other management initiatives, the Management Cube will help DHS 

optimize office space by comparing office space square footage to staffing levels, 

and tighten security by ensuring that employees who have physical access to 

mission-critical systems and equipment have the proper security clearances. 

As deployment of the Enterprise Data Strategy progresses, the ISSGB can 

leverage still other initiatives by OCIO to coordinate data management activities 

enterprise-wide. Following are examples of effective OCIO working groups and 

initiatives that have helped components achieve their data management 

objectives. 

	 Master Reference Data Working Group (MRDWG) – Established by OCIO, 

this working group has held meetings since June 2016 to develop and 

implement a department-wide policy for ensuring the interoperability of 

master reference data, which are present in more than one DHS data 

asset or system. This working group can help implement Enterprise Data 

Strategy objective 1.5, use standardized master reference data, as shown 

in Table 1. Multiple component officials remarked positively regarding an 

MRDWG pilot of a data management tool designed to provide the 

MRDWG and DHS components a comprehensive solution for managing 

their respective data stewards and data governance approval processes. 

Component officials thought the tool could help them collaboratively 

manage their common reference data with other components, and make 

it easier to consistently report and aggregate data. 

	 Enterprise Architecture Information Repository (EAIR) - The OCIO 

created the EAIR in 2008 to maintain a list of datasets and data systems 

across the Department. The EAIR is a central repository of Enterprise 

Architecture assets used by the Department and its components. Each 

DHS component is responsible for maintaining an accurate, up-to-date 

description of its data assets within the EAIR, including security 

classification, privacy sensitivity, and handling restrictions for each 

system. As of May 2017, the EAIR had catalogued over 1,000 data assets 

throughout the Department. The EAIR also houses a categorized listing 

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OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

of software products at DHS and its components. Multiple component 

officials commented that the EAIR was an effective tool that helped them 

build out their data assets, systems, and datasets. They also said the 

EAIR provided a resource for data discovery across DHS components. 

The EAIR could help implement Enterprise Data Strategy objective 2.1, to 

inventory datasets and data systems in DHS, as listed in Table 1. 

	 Data Management Working Group (DMWG): OCIO’s EDMO established 

the DMWG in 2015 in response to DHS Directive 103-01, Enterprise Data 

Management Policy, dated August 2014, which sets standards for the 

Department to define, promote, and monitor data management practices 

across DHS. Chaired by the EDMO director, the DMWG is comprised of 

representatives and voting members from DHS components, and is 

authorized to develop and implement enterprise data management 

guidance, policies, and standards to support the governance of 

information assets and data management activities across the 

Department. The DMWG has the ability to enforce adoption and use of 

standards when required. 

To carry out its responsibility, the DMWG conducts monthly meetings 

with DHS Management Directorate officials and component data 

stewards. DMWG meetings are aimed at improving data management 

processes at DHS. The DMWG also established multiple other data 

management user groups at the component level to provide governance, 

review, and approval of authoritative component data. These groups have 

helped address Enterprise Data Strategy objective 2.3, to identify 

authoritative data sources, as shown in Table 1. 

Additional Areas for Coordination Improvement 

Component officials stressed that ISSGB could do more in specific areas to 

expand coordination of data analysis, sharing, and management activities 

DHS-wide. For example, Goal 5 of the Enterprise Data Strategy calls for DHS to 

develop data analytics training and establish a data workforce departmentwide. However, the ISSGB’s planned implementation actions for Goal 5 

involved only three offices—I&A, OCIO, and the National Protection and 

Programs Directorate. Other DHS components that require the data analytic 

training will need to get involved as well. To ensure successful implementation 

of the objectives, the ISSGB must expand its existing implementation plans to 

comprise not just the needs of these three components, but other components 

across the Department. 

Significant ISSGB coordination efforts will also be necessary to implement 

objective 1.4 of the Enterprise Data Strategy, which calls for DHS to use 

strategic sourcing and other procurement vehicles to acquire mission-critical 

data systems. According to its matrix of planned implementation actions, the 

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OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

ISSGB must coordinate extensively through the Office of the Chief Procurement 

Officer to carry out this objective department-wide. The ISSGB’s coordination 

efforts in this regard recently began in April 2017 with a meeting with officials 

from the Office of the Chief Procurement Officer. At that meeting the groups 

agreed to coordinate with each other to accomplish the strategic objectives of 

the Enterprise Data Strategy once the implementation plans are finalized. Such 

coordination efforts will need to continue to successfully implement this 

strategic sourcing objective. 

More broadly, the ISSGB needs to expand its efforts to coordinate data 

analysis, sharing, and management to address all of the goals and objectives of 

the Enterprise Data Strategy. For example, strategic objective 3.3 of the 

Enterprise Data Strategy, as shown in Table 1, calls for the Department to 

provide analytical tools to mission users. However, components identified gaps 

in the Department’s progress for identifying and acquiring analytic tools for 

classified and unclassified data. An official from one component noted that 

DHS had not coordinated support for component efforts to analyze Open 

Source Intelligence and, as a result, some components were purchasing their 

own analytic tools for this purpose. Officials believed that a department-wide 

initiative to address these specialized data analytics needs, including potential 

use of enterprise-wide software licensing, could significantly benefit and 

improve cohesion across components DHS components. 

Further, the ISSGB could help with data integration in support of specific DHS 

mission areas, which would assist in addressing Goal 3 of the Enterprise Data 

Strategy. For example, Section 1092 of the National Defense Authorization Act 

for Fiscal Year 2017 requires DHS to make data related to immigration 

enforcement actions available to the public, law enforcement communities, and 

academic research communities. In line with this, DHS plans to create an 

interoperable exchange for immigration data across the Homeland Security 

Enterprise. In September 2016, DHS chartered the Immigration Data 

Integration Executive Steering Committee to oversee the integration of data 

from nine DHS components and other Federal agencies. At the time of our 

report, the steering committee was in the process of identifying the data 

stewards for the datasets that will be integrated. Multiple component survey 

respondents stated that continued effort to pursue this initiative is crucial for 

homeland security missions. 

In general, multiple component officials stated that stronger executive support 

for enterprise data management was needed across the Department. One 

official noted that component heads must first recognize the value of data 

assets. Otherwise, any discussion with them regarding data analytics training 

and tools, strategic sourcing, and data sharing and integration may produce 

little value. It is vital that component heads all come to view data as an asset 

and maximize its use to accomplish their individual component missions. 

Moreover, it is essential that central coordination of component data activities 

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OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

and investments be expanded to address the additional needs identified. Only 

then will DHS be able to ensure continued progress toward accomplishing its 

goals and objectives of data standardization, interoperability, accessibility, and 

inventory for shared benefit department-wide. 

Recommendations 

We recommend that the Under Secretary for Intelligence and Analysis: 

Recommendation 1: Ensure the ISSGB completes development of its 

implementation plan for each of the 19 remaining strategic objectives of the 

Enterprise Data Strategy, including assigned offices and timelines, by the end 

of FY 2017 as projected. 

We recommend that the DHS Chief Information Officer: 

Recommendation 2: Work with components to identify and provide the 

common tools and related training needed for enterprise-wide data analysis 

and management. 

DHS Comments and OIG Analysis 

DHS Comments to Recommendation 1: The Department concurred with our 

recommendation and stated that it plans to complete the Fiscal Year (FYs) 

2018-2022 Information Sharing and Safeguarding (IS&S) Strategy by 

September 30, 2017. The Enterprise Data Strategy strategic objectives will be 

incorporated into the broader objectives of the IS&S Strategy and 

corresponding Implementation Plan. The 2018 Implementation Plan for the 

IS&S Strategy will include milestones necessary for achieving the 19 remaining 

strategic objectives, and is expected to be completed by March 31, 2018. 

OIG Analysis of DHS Comments: We consider DHS’ proposed action to be 

responsive to the recommendation. The recommendation is considered resolved 

and will remain open until we receive and analyze the 2018 Implementation 

Plan for the IS&S Strategy. To close the recommendation, the Implementation 

Plan must include the milestones necessary for achieving the 19 remaining 

strategic objectives, and the offices responsible for overseeing milestone 

completion. 

DHS Comments to Recommendation 2: The Department concurred with our 

recommendation and stated that the DHS Business Intelligence as a Service 

Team Lead is working with components to identify common analytic tools and 

establish Enterprise License Agreements for products such as Tableau and 

Informatica. Additionally, the OCIO is working with DHS components to 

develop use cases for common data governance tools available to the 

components, and will provide in-house training to support the use cases in the 

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OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

future. OCIO plans to complete these data governance initiatives by December 

31, 2017. 

OIG Analysis of DHS Comments: We consider DHS’ proposed action to be 

responsive to the recommendation. The recommendation is considered resolved 

and will remain open until we receive and analyze documentation that (1) the 

Department has entered into Enterprise License Agreements for Tableau and 

Informatica, or provides documentation showing why Enterprise License 

Agreements are not in the Department’s best interest, and (2) the OCIO has 

developed component use cases for its data governance tools and is providing 

training on those tools to component users. 

Objective, Scope, and Methodology 

The Department of Homeland Security (DHS) Office of Inspector General (OIG) 

was established by the Homeland Security Act of 2002 (Public Law 107−296) by 

amendment to the Inspector General Act of 1978. This is one of a series of 

reports prepared as part of our oversight responsibility to promote economy, 

efficiency, and effectiveness within the Department. 

The objective of our audit was to review the Department’s data strategy and 

inventory component investments in this area to ensure these investments are 

coordinated and effective. We interviewed DHS officials from the Enterprise 

Data Management Office and the Office of Intelligence and Analysis. We 

discussed with these officials the current status of DHS’ Enterprise Data 

Strategy goals and objectives, current and future DHS data integration efforts, 

and the structure and function of DHS data working groups. 

We obtained access to Sharepoint sites and reviewed working group charters, 

meeting materials, and attendance lists. We reviewed reference and technical 

materials related to data integration initiatives like the DHS Data Framework 

and Management Cube projects. We also obtained access to the EAIR to review 

documentation and perform searches of software lists at DHS and its 

components. 

We distributed a data collection instrument to component officials who 

attended ISSGB and DMWG periodic meetings during calendar year 2016. This 

included officials from U.S. Customs and Border Protection, Domestic Nuclear 

Detection Office, U.S. Immigration and Customs Enforcement, National 

Protection and Programs Directorate, Transportation Security Administration, 

U.S. Coast Guard, and U.S. Citizenship and Immigration Services. In the data 

collection instrument, we asked component officials how DHS had helped 

coordinate component data use and investments; how DHS working groups 

had helped components achieve their missions; and whether, in their opinions, 

there were additional ways DHS could assist components in utilizing data to 

achieve their missions. We reviewed and followed up as necessary on the 

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OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

survey responses received from component officials to obtain clarification and 

additional information. 

We conducted this performance audit between June 2016 and April 2017 

pursuant to the Inspector General Act of 1978, as amended, and according to 

generally accepted government auditing standards. Those standards require 

that we plan and perform the audit to obtain sufficient, appropriate evidence to 

provide a reasonable basis for our findings and conclusions based upon our 

audit objectives. We believe that the evidence obtained provides a reasonable 

basis for our findings and conclusions based upon our audit objectives. 

The Office of Information Technology Audits major contributors to this report 

are Tuyet-Quan Thai, Director; Scott Wrightson, Audit Manager; and Jason 

Dominguez, Independent Referencer. 

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OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

Appendix A 

Management Comments to the Draft Report 

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OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

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OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

Appendix B 

Report Distribution 

Department of Homeland Security 

Secretary 

Deputy Secretary 

Chief of Staff 

Deputy Chiefs 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 

DHS Office of the Chief Information Officer Liaison 

DHS Office of Information and Analysis Liaison 

Office of Management and Budget 

Chief, Homeland Security Branch 

DHS OIG Budget Examiner 

Congress 

Congressional Oversight and Appropriations Committees 

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ADDITIONAL INFORMATION AND COPIES 

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 Public Affairs 

at: DHS-OIG.OfficePublicAffairs@oig.dhs.gov. Follow us on Twitter at: @dhsoig. 

OIG HOTLINE 

To report fraud, waste, or abuse, visit our website at www.oig.dhs.gov and click on the red 

"Hotline" tab. If you cannot access our website, call our hotline at (800) 323-8603, fax our 

hotline at (202) 254-4297, or write to us at: 

Department of Homeland Security 

Office of Inspector General, Mail Stop 0305 

Attention: Hotline 

245 Murray Drive, SW 

Washington, DC 20528-0305