Department of Homeland Security

Office of Inspector General 

U.S. Citizenship and Immigration Services' 


Progress in Modernizing Information Technology
 

OIG-09-90 July 2009 
 

 

 

 Office of Inspector General 

U.S. Department of Homeland Security 

Washington, DC 20528 

 July 13, 2009 

Preface 

The Department of Homeland Security Office of Inspector General 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 audit, inspection, and special reports 

prepared as part of our oversight responsibilities to promote economy, efficiency, and 

effectiveness within the department. 

This report addresses the strengths and weaknesses of the Information Technology 

modernization for U.S. Citizenship and Immigration Services. It is based on interviews 

with employees and officials of relevant agencies and institutions, direct observations, and 

a review of applicable documents. 

The recommendations herein have been developed to the best knowledge available to our 

office, and have been discussed in draft with those responsible for implementation. We 

trust this report will result in more effective, efficient, and economical operations. We 

express our appreciation to all who contributed to the preparation of this report. 

Richard L. Skinner 


Inspector General 

Contents/Abbreviations
 

Executive Summary ...............................................................................................................1
 

Background ............................................................................................................................ 2 


Results of Audit ..................................................................................................................... 6 


Business Transformation Showing Progress.............................................................. 6 


Future Concerns for Business Transformation ........................................................ 15 


IT Management Strengthened.................................................................................. 27 


IT Management Challenges Remain........................................................................ 31 


Conclusion ............................................................................................................... 38 


Recommendations.................................................................................................... 39 


Management Comments and OIG Analysis......................................................................... 39 


Appendixes 

Appendix A: Objective, Scope, and Methodology..................................................... 43 

Appendix B: Management Response to Draft Report................................................ 45 

Appendix C: Major Contributors to the Report ......................................................... 53 

Appendix D: Report Distribution ............................................................................... 54 

Abbreviations 

BSS Biometric Storage System 

CIO Chief Information Office 

DHS Department of Homeland Security 

EA Enterprise Architecture 

EDMS Enterprise Document Management System 

FY Fiscal Year 

IPT Integrated Project Team 

OIG Office of the Inspector General 

OIT Office of Information Technology 

OMB Office of Management and Budget 

SA Solutions Architect 

SIMS Secure Information Management Service 

TPO Transformation Program Office 

USCIS U.S. Citizenship and Immigration Services 
 

Contents/Abbreviations
 

Figures 

Figure 1 USCIS “As Is” Benefits Business Process ............................................. 2


Figure 2 USCIS Organizational Structure ............................................................ 4 


Figure 3 TPO Organizational Structure ................................................................ 7 


Figure 4 Transformation Governance Structure ................................................... 8 


Figure 5 Transformation Phases with Timeframes as of March 2008................ 10 


Figure 6 USCIS Pilots and Proof-of-Concept..................................................... 11 


Figure 7 Process Engineering Efforts Since 2007 .............................................. 22 


Figure 8 OIT Staffing Levels - December 2008 ................................................. 31 


Tables 

Table 1 DHS Homeland Security Program Performance Measures.................. 19 


Table 2 FY 2007 Transformation Program Performance Measures.................. 19 

OIG
 

Department of Homeland Security 

Office of Inspector General 

Executive Summary 

In 2005, U.S. Citizenship and Immigration Services (USCIS) 

embarked on an enterprise-wide program to transform its fragmented, 

paper-based business process to a flexible and efficient process 

supported by an integrated technical environment. In November 

2006, we reported that USCIS had not finalized an approach for 

implementing the transformation, had not centralized information 

technology (IT) staff, and placed IT infrastructure upgrades on hold. 

We conducted a follow-up audit to our 2006 report to determine 

USCIS’ progress in implementing IT transformation initiatives. 

USCIS has established a structure to manage transformation 

initiatives, finalized acquisition and funding strategies, and 

established an approach to deploy new business and IT capabilities. 

In addition, USCIS has implemented pilot programs to test a selection 

of these capabilities. However, pilot success has been restricted by 

ineffective planning and limited implementation reviews. Business 

process reengineering efforts needed to support the transformation are 

incomplete, and stakeholder participation levels have fluctuated, 

resulting in inconsistent business and IT involvement. 

USCIS has strengthened overall IT management by restructuring its 

Office of Information Technology (OIT) and realigning field IT staff 

under this structure. Further, OIT has improved IT governance 

functions and issued guidelines for local IT development. However, 

the Chief Information Officer (CIO) has been impeded by insufficient 

staffing and ineffective IT budget authority. In addition, although 

USCIS has made improvements to its IT infrastructure, current efforts 

are stalled for lack of funds. 

We are recommending that USCIS: communicate its transformation 

approach to stakeholders; include stakeholder participation in 

defining requirements; assess pilot program results; develop an IT 

staffing plan; communicate IT development guidelines; and provide 

the CIO budget and investment authority for all USCIS IT 

initiatives. Such actions will be critical to support increases in 

benefits-processing workloads that may result from proposed 

immigration reform legislation. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

Page 1 
Background 

Upon its inception on March 1, 2003, the Department of Homeland 

Security (DHS) assigned responsibility for delivering citizenship 

and immigration services to the USCIS. USCIS’ mission is to 

secure America’s promise as a nation of immigrants by providing 

accurate and useful information to its customers, granting 

immigration and citizenship benefits, promoting an awareness and 

understanding of citizenship, and ensuring the integrity of the 

immigration system. 

Each year, USCIS receives more than 7.5 million immigration 

applications and petitions for a range of benefits, including 

employment authorization, lawful permanent residency, and 

naturalization and citizenship. To accomplish its mission, USCIS 

has more than 15,000 employees and contractor personnel in more 

than 250 offices worldwide, including asylum offices, application 

support centers, service centers, forms centers, a National Benefits 

Center, and a National Customer Service Call Center. 

Generally, the USCIS immigration benefits process occurs in three 

stages—Apply, Adjudicate, and Issue—as depicted in Figure 1: 

Figure 1: USCIS “As Is” Benefits Business Process 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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During the Apply phase, applicants submit paper forms to a USCIS 

service center or the Lockbox. These forms are checked for errors 

and then manually entered into a computer system for processing. 

Once USCIS receives the application fees, fingerprints are collected 

and other paper documents, such as birth certificates and drivers’ 

licenses, are used to verify applicants’ identity. These documents 

are kept on file and are manually correlated to the fingerprints and 

the application number. 

In Adjudication, a USCIS adjudications officer determines whether 

an applicant is eligible for benefits under the Immigration and 

Nationality Act. Adjudication officers review the paper 

documentation submitted in support of an application or petition, 

and in some cases, interview the applicant. Adjudication officers 

schedule interview appointments electronically or by mailing forms 

to applicants. The supporting forms are often sent from a service 

center to a local office for processing, sometimes multiple times. 

Adjudicators examine the evidence received to determine whether 

the applicant is eligible for the benefit requested. When an 

application is approved, USCIS produces and issues evidence of that 

benefit such as a naturalization certificate. 

USCIS recognizes that its paper-based processes hinder its ability to 

verify the identity of applicants, efficiently process immigration 

benefits, and provide other government agencies with relevant 

information on possible criminals and terrorists. In 2005, USCIS 

embarked on an enterprise-wide transformation program to 

transition its fragmented, paper-based operational environment to a 

centralized and consolidated operational environment, using 

electronic adjudication. USCIS established the Transformation 

Program Office (TPO) to oversee all transformation initiatives 

within USCIS. The transformation program’s mission is to improve 

customer service and management of customer data by acquiring 

electronic capabilities and enabling IT. Figure 2 illustrates the TPO 

organization and its relationship to USCIS leadership and other 

USCIS offices. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

Page 3 
 

Figure 2: USCIS Organizational Structure 

Because the transformation efforts rely on IT modernization, TPO and 

the OIT need to maintain an ongoing partnership to accomplish 

transformation goals. OIT’s mission is to provide the USCIS 

enterprise with the IT services to fulfill its mission and achieve its 

goals and objectives. OIT accomplishes this by providing the 

appropriate IT infrastructure, governance, and IT processes. 

In September 2005,1

 we reported that inefficiencies in the USCIS IT 

environment hindered its ability to carry out its immigration benefits 

processing mission. USCIS’ largely manual, paper-based processes 

resulted in an ineffective use of human and financial resources to 

ship, store, and track immigration files. In addition, USCIS 

adjudicators used multiple, nonintegrated IT systems to review 

application forms and supporting data, which reduced productivity 

and data integrity and resulted in the following: 

•	 A backlog of approximately 1.5 million cases, 

•	 Tens of thousands of files that were missing or not easily located, 

•	 Difficulties in verifying the identity of applicants and providing 

other government agencies with the information necessary to 

identify criminals and potential terrorists, and 

•	 Benefits issued to applicants whose eligibility and potential risk 

to national security were not yet determined. 

We conducted a follow-up audit in 2006 and reported that, although 

USCIS had made limited progress toward achieving its long-term 

1 USCIS Faces Challenges in Modernizing Information Technology, OIG-05-41, September 2005. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

Page 4 
 

transformation goals, it continued to face similar challenges.2 

Specifically, USCIS had not finalized an approach for implementing 

the transformation, needed to improve strategic planning, had not 

centralized IT staffing, and had placed IT infrastructure upgrades on 

hold. Based on our work in 2005 and 2006, we recommended that 

the Acting Deputy Director, USCIS: 

1.	 Develop a modernization strategy that includes short- and longterm goals, funding plans, and performance measures to guide 

USCIS entities in accomplishing their citizenship and 

immigration services missions. 

2.	 Complete implementation of plans to centralize IT by placing all 

USCIS IT employees, budgets, and systems under the CIO 

authority and control. 

3.	 Ensure that the centralized CIO operation and its IT 

transformation plans and systems initiatives are linked to and 

effectively support the consolidated USCIS strategy. 

4.	 Review, analyze, and reengineer benefits adjudication activities 

to help eliminate duplication, transition from paper-based 

processes, better integrate systems, and provide systems access 

to the users who need it. 

5.	 Finalize and implement plans to upgrade and standardize IT 

hardware and software systems to support reengineered 

processes and systems integration and access improvement 

initiatives. 

6.	 Ensure representation and participation of users at the various 

levels from across USCIS in all process reengineering and IT 

transformation activities. 

2 U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology, OIG-07-11, 

November 2006. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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Results of Audit 

Business Transformation Showing Progress 

The Government Performance and Results Act of 19933 holds 

federal agencies responsible for strategic planning to ensure efficient 

operations and effective use of resources to achieve mission goals. 

Since our 2006 report, USCIS has taken a number of steps to 

improve its transformation program. Specifically, USCIS 

established a transformation program structure and governance 

approach. Further, USCIS developed a funding mechanism for its 

transformation efforts and finalized a plan for acquiring the support 

services and equipment necessary to implement new business 

processes and enabling technology. USCIS also completed a 

concept of operations for transformation and established a strategy 

for deploying the transformed business capabilities. Finally, USCIS 

implemented transformation program pilots. These actions have 

positioned USCIS to better plan and prepare for the next phase in 

the agency’s transformation and ultimately achieve its goals of 

enhancing national security and fraud detection, providing timely 

and accurate customer service, and becoming more operationally 

efficient. 

Transformation Program Structure and Governance Approach Established 

TPO has restructured its organization to provide a more centralized 

management of enterprise-wide transformation initiatives. As part 

of this revised structure, the TPO is headed by a new Senior 

Executive Service Coordinator to ensure effective transformation 

program oversight. As shown in Figure 3, the TPO coordinator 

reports directly to USCIS leadership, which should result in more 

efficient decision-making, executive-level awareness, and agency 

commitment to transformation success. 

3 Government Performance and Results Act of 1993 (Public Law 103-62), August 3, 1993. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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Figure 3: TPO Organizational Structure 

The TPO has increased staffing over the past two years to better 

coordinate and manage transformation efforts. At the time of our 

audit, 36 of the TPO’s 40 authorized positions were filled. The TPO 

expects to fill the remaining positions in the second quarter of Fiscal 

Year (FY) 2009. A number of TPO managers are attending certified 

project manager training to develop their program management 

skills. 

USCIS has established a TPO governance structure as a framework 

for decision-making, authority, and accountability, and to ensure 

that all transformation project activities involve agency 

stakeholders. Within this structure, the TPO has defined roles, 

responsibilities, oversight, and reporting functions at the DHS level, 

agency level, and TPO level. Oversight of the entire program at the 

DHS level falls under the authority of the Investment Review Board, 

the Joint Requirements Council, and the Enterprise Architecture 

Board, which approve or review key documents such as the 

Acquisition Plan, the Program Plan, and the annual Expenditure 

Plan. To achieve the necessary coordination within the agency, a 

Transformation Leadership Team provides oversight of the 

transformation program. The TPO Project Management Team 

oversees strategic planning, acquisition planning, program 

management, and day-to-day program activities. These 

organizational relationships are depicted in Figure 4. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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Investment Review

Board (IRB)

Joint

Requirements 

Council

Senior Review 

Board (SRB)

Transformation

Leadership

Team (TLT)

Project Management

Team (PMT)

Integrated Project

Team (IPT)

Integrated Project

Team (IPT)

Integrated Project 

Team (IPT)

Enterprise

Architecture Board

(EAB)

Operations 

Advisory Board

(OAB)

Federal Stakeholder

Advisory Board

(FSAB)

DHS

USCIS

TPO

Investment Review

Board (IRB)

Joint

Requirements 

Council

Senior Review 

Board (SRB)

Transformation

Leadership

Team (TLT)

Project Management

Team (PMT)

Integrated Project

Team (IPT)

Integrated Project

Team (IPT)

Integrated Project 

Team (IPT)

Enterprise

Architecture Board

(EAB)

Operations 

Advisory Board

(OAB)

Federal Stakeholder

Advisory Board

(FSAB)

Investment Review 

Board (IRB) 

Joint 

Requirements 

Council 

Senior Review 

Board (SRB) 

Transformation 

Leadership 

Team (TLT) 

Project Management 

Team (PMT) 

Integrated Project 

Team (IPT) 

Integrated Project 

Team (IPT) 

Integrated Project 

Team (IPT) 

Enterprise 

Architecture Board 

(EAB) 

Operations 

Advisory Board 

(OAB) 

Federal Stakeholder 

Advisory Board 

(FSAB) 

DHS 

USCIS 

TPO 

Figure 4: Transformation Governance Structure 

Under the Project Management Team oversight, integrated project 

teams (IPT) lead specific transformation projects for business, 

technical, and release activities. Each team includes a crossfunctional membership of agency business and IT personnel who are 

responsible for their assigned project’s plans, schedules, costs, and 

performance. As of December 2008, 44 representatives from the 

TPO, Domestic Operations, OIT, National Security and Records 

Verification, and Refugee Asylum and International Operations 

were members of the transformation integrated project teams. These 

representatives are detailed to work with the TPO full-time for a 

period of 12 to 18 months. 

The TPO implemented the IPT approach to increase stakeholder 

involvement and ensure appropriate representation from USCIS 

subject matter experts. The TPO expects this structure to enhance its 

existing staff resources by bringing needed skills and expertise from 

operational directorates and the CIO’s office. In turn, project 

decisions can be made by members with appropriate business or 

technical knowledge and who best represent the needs of users who 

will be affected by new processes and systems. According to TPO 

management, the use of IPTs over the past two years has proven to be 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

Page 8 
a successful method for managing large-scale efforts with widespread impact on agency processes and systems. 

Transformation Funding Secured and Acquisition Plan Finalized 

Since our 2006 report, USCIS has secured funding for 

transformation program expenditures. USCIS is almost entirely 

funded by fees paid by applicants seeking immigration benefits. A 

new schedule for premium processing fees went into effect in July 

2007 that incorporates the anticipated costs of the transformation 

effort. According to TPO leadership, the agency will structure the 

transformation in a way that can be supported by this new line of 

funding. 

TPO also developed an acquisition strategy in January 2007 to 

provide a road map for the agency to acquire the resources, such as 

program support and IT services, necessary to implement the 

transformation. According to TPO management, the strategy 

reflects industry best practices, employs an incremental 

development approach, and will use strategic sourcing to acquire the 

needed capabilities. A key element of the strategy is the reliance on 

an IT services provider to develop the enabling IT operational 

environment for the electronic adjudication process. Based on the 

transformation funding plan and acquisition strategy, management 

approved a formal Acquisition Plan in October 2007, and awarded a 

contract for a transformation IT service provider, referred to as the 

Solutions Architect (SA), in November 2008. 

Concept of Operations Completed 

USCIS completed a concept of operations for transformation in 

March 2007. This document describes USCIS’ current paper-based 

business environment and proposed end-state vision. The end-state 

represents a person-centric, account-based business model that is a 

clear departure from the current paper-based operations. In this 

model, USCIS will manage customer accounts and adjudicate 

benefit requests in an integrated technical environment, resulting in 

a higher level of service to applicants and a streamlined process for 

adjudicating all customer benefits. To establish a common vision, 

feedback was gathered from USCIS management and stakeholders. 

The agency has used the document as a tool to view how business, 

information, and technology solutions will interact to support the 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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Non-Immigrant FY 2013

(non-immigrant workers)

Four 

Humanitarian FY 2012

(refugee, asylum, parole, temporary 

protected status)

Three 

Immigrant FY 2010 – FY 2011

(permanent residence)

Two 

Citizenship FY 2009

(naturalization, military naturalization, 

and international adoptions)

One

Increment Business Functions Timeframe

 

 

future operational environment. With this document, USCIS has 

gained a common understanding of the person-centric, accountbased vision as the foundation for transformation. Once this model 

is implemented, the agency expects to gain significant benefits, such 

as greater operational efficiency, improved customer service, and 

enhanced national security. 

Deployment Strategy Established 

USCIS has developed a multi-year strategy for deploying the 

capabilities needed to achieve the transformed USCIS business 

processes and support IT. This strategy calls for creating new 

business processes and systems incrementally over a six-year period. 

To establish this approach, the TPO analyzed USCIS’ transactions, 

such as an application for naturalization, and grouped them into four 

major lines of business. Based on this analysis and the sequence in 

which customers usually file for benefits, TPO plans to implement 

reengineered business processes in increments that correlate with the 

business lines, beginning with citizenship. The needed capabilities 

for the remaining three increments will be acquired in stages, as 

shown in Figure 5. 

Increment Business Functions Timeframe 

One Citizenship 

(naturalization, military naturalization, 

and international adoptions) 

FY 2009 

Two Immigrant 

(permanent residence) 

FY 2010 – FY 2011 

Three Humanitarian 

(refugee, asylum, parole, temporary 

protected status) 

FY 2012 

Four Non-Immigrant 

(non-immigrant workers) 

FY 2013 

Figure 5: Transformation Phases with Timeframes as of March 2008 

This approach will allow the agency to leverage work done in each 

increment to better define the requirements and scope for succeeding 

increments. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

Page 10 
Link 

Biometrics 

Data to Create 

Unique 

Identity

Store 

Biometric Data

Web based 

Case Mgmt 

System

Digitize, Store, 

and View Files Digitization Pilot

SIMS 

Proof of

Concept

BSS Pilot

Enumeration 

Pilot

To Support Electronic Adjudication

 

 

Transformation Program Pilots and Proof-of-Concept Implemented 

USCIS implemented three pilot programs and one proof-of-concept4 

to test the viability of a number of fundamental IT system 

capabilities required for the transformation. Efforts supporting 

electronic adjudication processing include the Integrated 

Digitization and Document Management Program (Digitization), 

Biometric Storage System (BSS), Enumeration, and the Secure 

Information Management Service (SIMS) proof-of-concept. These 

efforts, as shown in Figure 6, have increased awareness of the level 

of effort required to implement each capability and the long-term 

funding commitments needed to execute the transformation 

program. 

-

- -

Link 

Biometrics 

Data to Create 

Unique 

Identity 

Store 

Biometric Data 

Web-based 

Case Mgmt 

System 

Digitize, Store, 

and View Files Digitization Pilot

SIMS

Proof-ofConcept 

BSS Pilot

Enumeration 

Pilot 

To Support Electronic Adjudication 

Figure 6: USCIS Pilots and Proof-of-Concept 

Integrated Digitization and Document Management Program 

The Digitization pilot is intended to test the process of scanning files 

and the adjudicators’ use of digitized images in their day-to-day 

work. The Digitization pilot was implemented in September 2006 at 

the Records Digitization Facility, the contractor-led facility that 

scans documents into electronic format. Files being scanned include 

a combination of closed files, active files, new Temporary Protected 

Status applications, and documents filed by applicants for intercountry adoption. As of February 2009, the facility had scanned 

more than 600,000 paper files. 

4

 A proof-of-concept is a methodology to determine whether a product, technology, or information system is 

viable and capable of solving an organization’s particular problem. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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The Digitization pilot also is testing technology for storing 

electronic files in a single repository called the Enterprise Document 

Management System (EDMS). The EDMS initiative has enabled 

USCIS to begin transferring millions of paper records to an 

electronic format and to provide multiple users with simultaneous 

access to the digitized electronic files. EDMS has approximately 

7,900 authorized users. External stakeholders, such as U.S. 

Immigration and Customs Enforcement, have been able to access 

EDMS, helping to support requirements within the E-Government 

Act of 2002. 

The Digitization pilot has provided several tangible outcomes for 

USCIS. First, it has given USCIS the opportunity to evaluate the 

benefits of having multiple-location access to digitized files for 

adjudication and enforcement purposes. Second, it has provided the 

basis for the agency’s ongoing digitization effort, which is intended 

to reduce the burden of managing paper records. Third, it has 

enabled USCIS to provide adjudicators with electronic copies of 

files, thus reducing the time spent pulling and shipping files. 

Finally, the underlying digitization and document management 

technologies used within the Digitization pilot can be used to 

develop new capabilities for the integrated operational environment. 

Biometric Storage System 

BSS was designed to provide a way to store, retrieve, and reuse 

biometric data. The capture of biometric and biographic data at the 

customer’s initial application, coupled with standards for 

enumeration and unique identity, are critical elements in USCIS’ 

transformation. Once this capability is implemented, USCIS 

expects that BSS will improve its biometrics management. 

Additionally, the storage of biometric data will mean that applicants 

do not have to appear in person to have new fingerprints taken or to 

create a new benefit card. These benefits will increase convenience 

to the customer and reduce processing costs to USCIS. 

The BSS pilot was placed on hold in spring 2008 while the system 

was undergoing a complete review by the OIT to determine whether 

a different application development effort may be required to meet 

USCIS long-term needs. As of 2009, the pilot is being transitioned 

to a more centralized approach using an account-based customer 

profile management service, which will better enable identity 

management functions. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

Page 12 
 

 

Enumeration Services 

Deployed in July 2007, the Enumeration Services pilot is a joint 

effort by USCIS and the U.S. Visitor and Immigrant Status Indicator 

Technology (US-VISIT) program.5

 The pilot establishes a 

permanent unique identifier for persons upon their first contact with 

USCIS when applying for benefits requiring fingerprint collection, 

such as permanent residence or adoption. Specifically, an 

enumerator is created upon submission of the applicant’s ten 

fingerprints and a core set of biographic data. Each time a person 

submits a subsequent benefit application, the enumerator is used to 

identify and validate the applicant, as well as to match with previous 

applications. 

“Locking in” an applicant’s identity is necessary to ensure the 

integrity of the benefit system by reducing fraudulent applications 

and identity theft. In the past, USCIS has associated an alien file 

(A-file) number to an individual, but that association is not unique 

because A-files are not created for all types of benefit applications 

and each person can submit multiple applications. Therefore, it is 

difficult to ensure that a person who has previously been refused a 

benefit does not reapply using another name. According to the TPO, 

the Enumeration Services pilot has proven to be effective in 

verifying identity because the enumerator establishes an enterprisewide unique personal identifier. 

Secure Information Management Service 

SIMS was deployed in July 2007 to test a web-based case 

management system using commercial software. This pilot, also 

known as the Inter-Country Adoptions proof-of-concept, is meant to 

(1) establish a person-centric view of all individuals involved in an 

adoption case, (2) migrate to electronic processing, and 

(3) implement business rules that help standardize case processing 

and adjudication. SIMS was deployed in two domestic and three 

international offices and is used by approximately 50 active users to 

adjudicate adoption cases. Adoption cases were chosen for the pilot 

because of their relatively low volume workload. 

One operational objective of SIMS is to better understand the 

person-centric/account-based management concept of operations. 

5 The US-VISIT program collects, maintains, and shares data on selected foreign nationals entering the United States at 

air, sea, and land ports of entry. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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This has been achieved through the software’s account structure, 

which creates a person-centric system. Additionally, this proof-ofconcept has verified that an enumerator, the unique identifier for 

each individual, supports the USCIS person-centric business 

process. According to the TPO, SIMS is a major step toward 

implementation of a modern processing model. At the time of our 

review, adjudicators had processed 71, or 17%, of the 408 active 

cases using SIMS. As a result, the pilot was successful in meeting 

one of its primary objectives—to demonstrate adoption caseprocessing capability using a case management system. TPO 

expects this proof-of-concept to be a fundamental step in the 

development of the overall case management solution. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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Future Concerns for Business Transformation 

Previous initiatives to reengineer business processes and modernize 

technology failed because USCIS had not executed them in an 

integrated manner with sufficient stakeholder involvement. 

Although USCIS has made progress in advancing its business 

transformation, some of these problems persist. Specifically, pilot 

efforts have been of limited value, process engineering efforts have 

not been completed, and stakeholder coordination has been limited. 

Transformation Pilots Yield Limited Value 

Office of Management and Budget (OMB) Circular A-130 Revised6 

encourages agencies to use pilot projects to ensure appropriate 

technology investment. According to the USCIS Transformation 

Program Acquisition Plan, program pilots should create IT 

capabilities that can be used to support the full transformation. Yet, 

as we reported in November 2006, USCIS had repeatedly developed 

plans to pilot its transformation business processes and IT systems 

but had not fully implemented any of those plans. Although USCIS 

has now implemented three pilot programs to evaluate potential 

business process and technology solutions, successful execution of 

these pilots has been limited by ineffective planning, management 

challenges, insufficient staffing, and limited post implementation 

performance reviews. 

Planning for Pilot Projects 

Transformation management and stakeholders do not have a clear 

end-state vision for pilot efforts. According to TPO leadership, the 

future integrated environment will leverage current pilots and the 

proof-of-concept where appropriate. However, specific plans for 

which pilot capabilities will be used or integrated are not known. 

For example, most program managers we spoke to were not aware 

of the overarching plans for pilot activities beyond the scope of each 

current pilot phase. Specifically, program managers were not sure 

how the agency planned to use the pilot capabilities or to what 

degree each pilot was meeting its expectations and goals. 

Plans for piloted systems are also contingent on the SA contract 

solution. Target decommission dates for pilot systems are “to be 

determined” and depend on the SA’s approach. USCIS encouraged 

6

Transmittal Memorandum 4, Management of Federal Information Resources, November 28, 2000. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

Page 15 
 

the SA to use pilot efforts to facilitate the rapid deployment of 

capabilities. However, the SA is not required to incorporate any of 

these pilots or the proof-of-concept into its solution. The TPO 

program managers and stakeholders did not have plans defined for 

the next phase of work. For example, one TPO manager stated that 

there are no formal plans for EDMS beyond the current release. At 

that point, development plans will cease until the SA determines 

whether the agency should incorporate the pilot concept into its 

future operating environment. 

Consequently, plans for the future use of the piloted systems were 

not effectively communicated within the TPO or articulated among 

agency stakeholders. Agency stakeholders also question funding 

and ownership arrangements. For example, the OIT remains unclear 

as to what proportion of IT expenses will be funded through the SA 

contract. The Records Division has questions regarding the 

ownership of pilot systems, such as EDMS, after the SA contract is 

awarded. Feedback received from field site visits and interviews 

with business unit management confirmed a high degree of 

uncertainty regarding the future of the transformation environment. 

Specifically, a post implementation review of the Digitization pilot 

in October 2007 stated that users feel that the TPO should do more 

to provide managers and employees with “bigger picture” 

information. Users also wish to receive more information about 

pilot implementation timelines and roadmaps and how they will 

impact USCIS employees. 

TPO Management Practices 

A transformation program overview, dated December 2007, states 

that the TPO is managing a series of pilot programs that will be 

integrated into an overall electronic adjudication system. Further, a 

number of TPO plans state that certain pilots will be a “phased 

rollout of technology,” with system interfaces and integration 

planned between primary pilot systems and capabilities. However, 

the day-to-day management of the pilot programs was difficult 

during initial releases, due to the TPO’s lack of experience 

managing pilot programs. As a result, pilot releases experienced 

delays and systems integration efforts were scaled back, delayed, or 

postponed until the next phase of transformation. 

One primary element of transformation systems integration is the 

use of an existing OIT tool, the Enterprise Service Bus. This tool 

was to be used to establish a channel of communication to enable 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

Page 16 
data sharing between multiple transformation pilot systems. For 

example, integration between SIMS and EDMS was originally 

planned for September 2007 to facilitate a more streamlined 

electronic workflow process using digitized files. However, the 

SIMS interface with EDMS was not implemented as planned, and is 

currently not scheduled for future releases. 

Additional interfaces using the Enterprise Service Bus were planned 

for September 2008 to establish a connection for two other pilot 

systems to the payment processing center (the Lockbox Service). 

This integration point would allow payment records and application 

data from the Lockbox Service to be shared with transformation 

pilot systems such as EDMS. However, the Lockbox interface was 

delayed due to changes in requirements and schedule. As a result, 

the planned integration between the Lockbox and the two pilot 

systems was delayed until a deployment release scheduled for spring 

2009. 

Transformation program management faced challenges during pilot 

implementations due to ineffective planning and lack of experience 

with project management practices. Specifically, some pilot 

programs did not fully employ end-to-end system lifecycle practices 

such as completing requirements gathering for system capabilities. 

Rather, pilot program estimates were overly optimistic. For example, 

an EDMS pilot release was delayed by over two months due to a lack 

of detailed end user requirements for system functionality, as well as 

security and privacy issues. Similarly, TPO management has stated 

that certain processes, such as OIT’s IT procurement procedures, 

were not well understood or consistently followed during early phases 

of pilot planning. For example, several pilot program managers were 

initially unaware of the timeframe of paperwork required to complete 

an IT procurement request. As a result of these challenges, 

transformation pilot and proof-of-concept programs encountered 

schedule delays, scope changes, and reductions in capability 

integration. 

Finally, day-to-day management practices varied across each pilot 

program. Although the TPO established an Increment Management 

Division at the end of FY 2006 to oversee pilot programs, formal 

project management practices were lacking. For example, there was 

no formal process for comprehensive status reporting. Instead, pilot 

status reporting was often done independently by the contractor 

supporting the pilot rather than by the TPO lead. In February 2008, 

TPO instituted a standardized process for weekly status reporting 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

Page 17 
using industry practices to capture and track project schedules, costs, 

issues, and risks. Prior to this time, program level accountability 

and awareness of pilot deployment status was lacking. 

TPO Management Staffing Challenges 

The TPO leadership stated that ongoing difficulty in hiring and 

retaining managers within the transformation program contributed to 

the reliance on contractors during pilot planning and execution. 

Transformation business and IT stakeholders stated that frequent 

changes in project managers contributed to a lack of continuity in 

pilot management. For example, the EDMS pilot initiative has had 

three different program managers, resulting in a heavy reliance on 

the Records Division management, who began the digitization 

effort. Stakeholders said that as a result of such frequent changes, 

the program managers are not always abreast of current activities 

and status. Further, as project managers changed positions, the 

vision for the pilot processes and goals did not always remain the 

same, resulting in a loss of continuity. 

Inability to Determine Pilot Success 

USCIS has not been able to capture enough of the knowledge gained 

or measure and communicate the successes and failures of the pilots. 

USCIS has developed performance measures for the transformation 

programs and the program pilots. However, program pilot efforts 

were conducted without consistent or timely evaluation, which has 

compromised the TPO’s ability to leverage work completed or 

manage future transformation phases of work effectively. 

Performance Measures Are Defined 

USCIS has developed high-level performance measures for the 

transformation program. Additionally, USCIS aligned its 

transformation program capabilities and goals with USCIS goals, as 

documented in the Transformation Program Strategic Plan in April 

2007. Since that time, the transformation program has sought to 

improve performance management by defining high-level program 

goals and pilot performance measures. For example, Table 1 shows 

transformation performance measures established and documented 

in the DHS Future Years Homeland Security Program. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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Measure FY07 FY08 FY09 FY10 FY11 FY12

5. SIMS system availability 98% availability 100% availability

4. # of agencies accessing EDMS 1 external agency 1 (ICE)

3. % of files submitted electronically 5% e-filed 5% e-filed

2. % satisfied with EDMS images 85% satisfaction 89% satisfaction

1. % adoption cases processed in SIMS 5% of cases 5.4% of cases

Performance Measure Objective Achieved

 

Measure FY07 FY08 FY09 FY10 FY11 FY12 

% of USCIS bus USCIS business 

processes redesigned 0% 5% 62% 78% 100% 100% 

% of new USCIS 

workload received and 

adjudicated via 

transformed processes 

and within USCIS' new 

case management 

system 

BaselineBaseline 5% 26% 62% 87% 100% 

Table 1: DHS Homeland Security Program Performance Measures 

Additionally, the Transformation Program Strategic Plan includes 

17 performance indicators for near-term and long-range evaluation 

of the transformation program’s success. These indicators evaluate 

customer satisfaction, process efficiency, system access, and the use 

of automated capabilities through transformation program efforts. 

The agency also identified five program-level measures for FY 2007 

to evaluate the program during the planning phase. Table 2 

identifies these parameters and the threshold, objective, and actual 

achievement for each. According to transformation leadership, the 

TPO achieved all five of its objectives. 

Performance Measure Objective Achieved 

1. % adoption cases processed in SIMS 5% of cases 5.4% of cases 

2. % satisfied with EDMS images 85% satisfaction 89% satisfaction 

3. % of files submitted electronically 5% e-filed 5% e-filed 

4. # of agencies accessing EDMS 1 external agency 1 (ICE) 

5. SIMS system availability 98% availability 100% availability 

Table 2: FY 2007 Transformation Program Performance Measures 

At the project level, the TPO developed performance measures for 

three of the four pilot efforts. Specifically, the TPO defined 21 

performance measures for SIMS and Enumeration services to 

evaluate the technology, system usage, user satisfaction, training, 

communication, and project and change management. Likewise, the 

TPO identified 22 performance measures for the Digitization pilot, 

including EDMS. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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According to TPO leadership, as of 2008, the performance measures 

are captured in the existing architecture repository and are linked to 

USCIS strategic goals and the Business Reference Model.7 This link 

should provide a connection between performance goals and the 

investments to improve USCIS decision-making abilities. According 

to the TPO, as the transformation is completed, more specific metrics 

will be created and deployed. Specifically, the SA plans to include 

performance measures for future business solution delivery. 

Pilot Performance Not Evaluated Timely 

Although pilot performance measures were developed, USCIS has 

not consistently performed post implementation reviews to 

determine the impact or success of its IT systems or business 

processes. OIT management has stressed the importance of 

conducting reviews after systems are implemented to identify 

potential issues or improvement opportunities. For example, a wide 

range of infrastructure impacts may be detected on the network, 

field servers, and desktops due to the large files transferred over the 

network for the EDMS system. However, we found that post 

implementation reviews for EDMS have not occurred since 2007. 

TPO program managers stated that lessons learned from pilot 

releases either had not been captured or were yet to be completed. 

Further, TPO leadership stated there has been no overarching post 

pilot review, nor is there an enterprise-wide repository to capture or 

share individual pilot lessons across the program. 

Regular post implementation reviews were not conducted because of 

the TPO’s focus on other priorities and the lack of resources to 

perform them. TPO management stated that reviews had not yet 

been completed because of the focus on preparing the SA plans. For 

example, an operational analysis was planned for an EDMS release, 

but the release date was delayed. Subsequently, the TPO learned 

that the SA contractor would evaluate EDMS for its potential use as 

part of the new environment. Thus, the TPO decided that it would 

be redundant to perform an operational analysis. Without consistent 

or complete pilot post implementation reviews of pilots, 

transformation management cannot identify impacts on the current 

environment or plan improvements for future releases. 

7

 A Business Reference Model provides a view of the agency’s lines of business, including its internal 

operations and the services it provides to citizens. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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USCIS has spent $28 million on the transformation pilot programs 

thus far. Pilot success, however, has been measured by intangible 

benefits, such as experiences gained, rather than by potential cost 

savings. TPO leadership stated that the pilots have provided the 

TPO with experience managing agency-wide initiatives. Pilots have 

also helped to demonstrate the level of effort and associated costs 

required to implement the business processes and technologies 

necessary to meet transformation objectives. For example, 

experience gained in digitizing files has revealed process intricacies 

for scanning, storing and viewing electronic files. Additionally, the 

use of EDMS has illustrated how long it takes to load a digitized file 

on end-user desktops, as well as the complexities involved in 

adjudicating cases with digitized files rather than paper. However, 

two of the four pilot and proof-of-concept efforts have not yet 

achieved cost savings. For example, in 2007 EDMS estimated 

benefits were less than 80% of the total estimated life cycle costs, 

resulting in negative quantitative net benefits. As a result, pilots 

may be abandoned before they achieve measurable results, such as 

cost savings or process improvements. 

Process Engineering Efforts Not Completed 

According to OMB Circular A-130 Revised, agencies should 

simplify or redesign work processes before implementing new 

technology.8 In 2006, we reported that the lack of an overarching 

vision led to disparate business process reengineering initiatives that 

were narrowly focused and were not sufficiently coordinated or 

completed. 

Since that time, USCIS has made progress in defining high-level 

business processes. However, the efforts to date provide only a 

starting point for transformation business process engineering. 

Without effective business process reengineering, USCIS risks 

developing new IT systems that support ineffective and outdated 

processes. 

The TPO has taken steps to conduct business process reengineering 

efforts with a more structured approach. Specifically, the TPO 

completed a process analysis in early 2007 that examined the “as-is” 

environment (how existing operations work and perform) and the 

“to-be” environment (a roadmap for proposed IT initiatives). The 

resulting Business Case Analysis provided the agency with 

8

 Transmittal Memorandum 4, Management of Federal Information Resources, November 28, 2000. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

Page 21 
 

alternatives for implementing the TPO’s vision. The primary 

objectives of the “to be” operations were to lock in an applicant’s 

identity early in the process; support the electronic submission of 

applications, appointments, and supporting documentation; and 

provide tools for USCIS adjudicators to manage workload and 

analyze case data. The results of this effort were captured in the 

USCIS Business Reference Model in June 2007. Figure 7 shows 

these high-level requirements. 

Figure 7: Process Engineering Efforts Since 2007 

According to TPO management, these process reengineering efforts 

helped USCIS select the business process alternative that best met 

transformation goals. In addition, these efforts provided the agency 

with tools and information to further develop detailed business 

process definition and requirements. 

However, the process reengineering efforts are limited in scope and 

level of detail. The Increment One Enterprise Segment Activity 

Roadmap defines high-level requirements based on the business 

process analysis efforts completed. This document includes each 

business process segment and its corresponding activities. According 

to the TPO, the Enterprise Segment Activity Roadmap is a key 

document that will be used as a guide to develop detailed business 

and IT services necessary to realize end-to-end electronic business 

operations. However, most transformation stakeholders stated that it 

was not detailed enough to drive business process implementation. 

For example, the document contains high-level, generic business 

processes for the citizenship process and account access requirements, 

but does not provide enough detail to sufficiently describe the steps of 

the adjudication process. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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Business Process Reengineering Next Steps 

TPO leadership describes the process reengineering efforts to date as 

only a starting point for the SA and stated that the SA will develop a 

more complete process definition as part of the transformation effort 

beginning in FY 2009. As part of this work, the TPO plans to 

implement process reengineering efforts in phases associated with 

each increment of work, as outlined in the deployment strategy. 

Starting with Increment One, Citizenship, the TPO has begun efforts 

to further define the future account services business concept. For 

this effort, a working group has been assembled to consider 

elements of customer-centric processing and individual and 

organization accounts. For example, the group is currently looking 

at future business requirements related to setting up an individual’s 

account and account number. 

Stakeholder Participation Limited 

We reported in 2006 that USCIS users felt disengaged and isolated 

because technologies were being developed and processes 

redesigned without their input. Since that time, USCIS has 

developed several strategies for increasing stakeholder involvement 

in its transformation planning efforts. One key stakeholder 

participation approach, established in January 2007, is the use of 

IPTs to involve business owners and subject matter experts in 

transformation activities. However, in 2008, transformation 

leadership stated that the lack of sponsorship continues to be a risk 

because TPO’s ability to implement transformation is limited by its 

dependence on agency and stakeholder commitment. 

Accordingly, the transformation strategy states that the TPO will 

“proactively engage stakeholders by identifying, understanding, and 

influencing key individuals or groups to increase change readiness 

and thereby facilitate a successful implementation.” However, the 

TPO has not consistently achieved buy-in and agency-wide support. 

Further, ineffective collaboration between TPO and the OIT has 

created a growing risk for transformation success. 

Lack of Consistent Stakeholder Involvement 

Despite efforts to engage agency stakeholders, the TPO has not been 

able to obtain consistent membership in working groups, such as 

IPTs. For example, a SIMS pilot IPT was tasked with identifying 

requirements. However, the group did not accomplish this task 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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because members have not attended the meetings consistently. 

When subject matter experts do not attend, requirements cannot be 

adequately vetted or finalized. 

The TPO recognizes that, in the past, field office involvement with 

transformation planning was limited and largely unsuccessful. To 

address this issue, in October 2008, TPO developed a 

comprehensive Stakeholder Outreach Plan, which provides a general 

overview of transformation stakeholders and the approach for 

engaging them in transformation. The plan indicates that outreach 

efforts will include office visits, focus sessions, and general 

communication to reach a cross-section of senior leadership and 

employees, informing stakeholders about the transformation and 

establishing relationships with potential transition managers. 

TPO and OIT Partnership Needs Strengthening 

USCIS business units and IT stakeholders are closely aligned in 

setting the direction and managing the transformation effort; 

however, collaboration and effective partnership between TPO and 

the OIT could be improved. TPO and OIT management stated that a 

difference in their approaches to the transformation has generated 

ongoing conflict between the two organizations. Prior to 2005, 

initial transformation efforts resided within the OIT as part of an IT 

modernization effort. However, as of 2006, the program was 

restructured as an all-encompassing “business-driven” 

transformation, meant to incorporate agency-wide business and IT 

elements. The impact of this change in direction has hindered 

effective partnership. The establishment of the TPO in 2005 moved 

control of the transformation effort outside of CIO authority. 

Although the CIO is closely aligned with the TPO Chief in setting the 

direction and managing the transformation effort, collaboration and 

partnership in executing the transformation program has at times been 

ad hoc or unproductive. The CIO is a member of the Transformation 

Leadership Team, which provides oversight of the transformation 

program. According to the Transformation Program Management 

Plan, the CIO represents the interest of the USCIS technical 

environment, ensuring the alignment of strategic direction of the TPO 

and OIT, the development of joint capabilities, and the budget 

alignment for common efforts. Primary responsibilities of the CIO 

include advising the TPO on transformation requirements, their 

impact on current and future technical systems, and necessary 

changes based on the direction of the technical strategic environment 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

Page 24 
 

set by the IT Strategic Plan. However, OIT officials stated that the 

CIO’s roles and responsibilities are not defined to a level that would 

support day-to-day execution of the transformation. 

Further, the CIO stated that conflicting IT direction often requires 

escalation to agency leadership for resolution. For example, the 

USCIS IT development life cycle requires that IT developed should 

accommodate those with disabilities.9

 However, TPO pilot systems, 

such as SIMS, were not originally aware of this requirement. Once 

the TPO was aware of the requirement, a waiver was requested to 

deploy the pilot system. However, for the next pilot release, the 

CIO provided conditions for which pilot systems will meet IT 

controls and standards. After the SIMS application was developed, 

the TPO requested a waiver to the requirement. 

According to TPO and OIT management, the lack of coordination 

between the two offices has caused delays in decision-making and 

contract procurements. For example, to extend contract support for 

the SIMS pilot, the TPO had to obtain OIT approval. However, the 

CIO would not grant an approval based on unresolved system 

development testing and reporting requirements. As a result, the 

TPO elevated the paperwork to agency leadership in order to move 

forward with the contract. 

To increase collaboration and alignment, at least three full-time OIT 

staff members are embedded within TPO. However, the relationship 

between the TPO and OIT remains a point of contention. The 

working relationship between the two has evolved on an “as-needed 

basis” rather than as a steady partnership. This is evidenced by the 

ad hoc nature of OIT’s involvement in pilot program activities. For 

example, deployment plans for pilot programs did not include 

realistic timeframes for procuring IT equipment or services. As a 

result, pilot initiatives, such as Scan on Demand within the 

Digitization pilot, were delayed. 

Additionally, TPO pilot programs did not consistently comply with 

OIT testing procedures. For example, the OIT recommended 

independent verification and validation (IV&V) testing of TPO pilot 

programs early during the testing stage, specifically on the scanning 

9 Section 508 compliance requirements are outlined by the DHS Office on Accessible Systems and 

Technology for Web-based Intranet and Internet Information and Applications. Department of Homeland 

Security Acquisition Instruction/Guidebook #102-01-001: Appendix B, November 2008. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

Page 25 
resolution requirements. However, TPO did not comply with such 

testing for pilot projects during initial pilot phases. Further, the TPO 

permitted piloted systems to be implemented without completing 

this step in order to meet schedule demands. In these cases, the OIT 

has performed testing after initial releases have been deployed or at 

the end of the pilot increments. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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IT Management Strengthened 


USCIS has made progress in strengthening IT management to 

support the agency’s citizenship and immigration services mission 

and its transformation efforts. Specifically, OIT developed a new 

organizational structure to facilitate IT services, and it has realigned 

field IT staff under the CIO. It has also improved IT governance by 

completing an IT Strategy that aligns its strategic direction with the 

USCIS Strategic Plan, an Enterprise Architecture (EA) framework 

to support and guide agency programs and IT investments, and an IT 

life cycle methodology. 

OIT Organizational Restructuring 

At the time of our audit, a new OIT organization structure was being 

implemented. This new structure includes a new Chief Technology 

Officer position. The CIO also plans to align the agency’s classified 

systems under the Chief Technology Officer to increase focus on IT 

security efforts. Additionally, the OIT is consolidating the IT 

Services Engineering and Enterprise Architecture offices into an 

Enterprise Architecture and Engineering Division to provide 

systems engineering support through standard tools, guidance, and 

EA policy and administration. Finally, the existing Chief of Staff’s 

role was expanded to include IT functions such as capital planning 

and investment control and earned value management.10 According 

to the CIO, this organizational structure will better align IT services 

with USCIS’ strategic goals. 

Field IT Staff Realigned 

According to DHS Management Directive 0007.1,11 the CIO of each 

DHS component is responsible for managing its IT budgets and 

resources. We reported in November 2006 that, although USCIS 

had made progress in realigning its IT employees to report to the 

CIO, centralization of the remaining IT employees, as well as IT 

assets and budgets, was on hold pending organizational 

improvements. 

10 Earned value management is a project management tool that compares completed work to expected
 

outcomes. 


11 Department of Homeland Security Management Directive 0007.1, IT Integration and Management, March
 

2007. 


U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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Since then, the OIT has realigned IT field staff under a centralized 

OIT organization structure. According to the CIO, 300 IT field staff 

now report to the CIO through a defined hierarchy within the OIT 

Service Support Division. This realignment has increased the CIO’s 

ability to centrally manage staff resources and ensure that field 

offices follow standard IT policies and procedures. 

To ensure a smooth transition to the new structure, realigned staff 

positions, roles, and responsibilities remain the same where possible, 

and they continue to provide IT services to meet field office user 

needs. In some cases, program analysts with IT-related duties were 

reclassified to a different job series on a case-by-case basis to align 

their duties with their positions. At the time of our audit, a small 

number of IT positions remained within field business offices 

outside of the CIO organization. However, the USCIS Acting 

Deputy Director has instructed USCIS business offices to hire only 

non-IT staff going forward. 

The staff realignment has been an effective means to improve the 

CIO’s oversight of agency IT initiatives. In many instances, this 

realignment included field staff who were hired to build IT systems 

to meet local business needs. Although these practices have long 

been common among USCIS offices, OIT management stated that 

the realignment effort has decreased local IT development 

initiatives. As a result, the realignment represents an essential step 

in establishing centralized IT management. 

IT Governance Instituted 

USCIS OIT has taken steps to improve IT oversight and control of 

the historically decentralized USCIS IT environment. Specifically, 

the OIT instituted a governance structure and processes, completed 

an IT strategic plan, developed an EA framework, and implemented 

a system life cycle management approach. 

Governance Structure Developed 

The USCIS CIO has sought to improve IT governance functions by 

using agency-wide review boards and processes as a formal method 

to review IT investments. The governance structure includes DHSlevel and USCIS-level review boards to achieve oversight of 

investments. Supporting processes are in place to ensure that 

USCIS IT systems development efforts undergo the necessary 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

Page 28 
 

review and approval. For example, according to OIT management, 

requirements for a new IT system or changes to an existing system 

are vetted through all relevant USCIS business units to reach an 

agreement on plans and expenditures and must receive approval 

from the USCIS Change Control Board. This structure ensures that 

stakeholders are involved, requirements are gathered, and money is 

spent wisely. 

The OIT has also implemented a Citizenship and Information 

Governance Authoring and Retrieval system to maintain USCIS IT 

policies and procedures associated with IT service requests, change 

requests, and other IT life cycle related processes or forms. This 

tool assists OIT staff in drafting new governance policies. 

IT Strategic Planning Completed 

According to OMB Circular A-130 Revised, an agency’s IT plan 

should support its strategic plan and should describe how 

information resources will be used to help accomplish the agency’s 

mission.12 We reported in 2006 that OIT had not clearly linked its 

IT objectives and initiatives with USCIS’ goals to ensure that 

technical solutions and services meet agency needs effectively. 

In June 2008, USCIS OIT completed an IT Strategy that aligns its 

enterprise IT strategic direction with the USCIS Strategic Plan for 

FY 2008–FY 2010 and the USCIS EA. According to the CIO, each 

objective in the IT Strategy aligns with one or more of the USCIS 

strategic objectives. Thus, fulfilling an OIT strategic objective 

completes a step toward USCIS enterprise strategic objectives. The 

strategy ensures that the alignment is realized through the use of 

common elements in the plans, such as vision, mission, and strategic 

goals and objectives. 

Currently, OIT is developing an implementation plan for its 

enterprise IT Strategy, including the formulation of supporting 

activities for each strategic objective. The CIO expects that these 

efforts will help steer the supporting activities and provide a basis 

for future revisions of the IT strategy. 

12 Transmittal Memorandum 4, Management of Federal Information Resources, November 28, 2000. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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Enterprise Architecture Matures 

USCIS has developed an EA framework to support and guide 

agency programs and IT investments. The OIT placed a high 

priority on developing its EA in alignment with the DHS EA, and 

created an EA Branch staffed with six full time employees, plus 

contract support, who serve as architects. According to the CIO, the 

USCIS EA has matured to a point where it can be populated to 

support agency programs such as the USCIS transformation. 

In addition, the transformation program has developed business 

process tools to complement the USCIS EA. Specifically, the 

Enterprise Segment Activity Roadmap is a primary transformation 

document that defines the agency’s business processes to date. The 

document includes business process activities associated with 

citizenship benefits processing. According to the OIT, it has been 

instrumental in assisting with populating the Business Reference 

Model for the USCIS EA. Collaboration between the TPO and OIT 

to define the Business Reference Model has been a priority for the 

past two years. Going forward, OIT will continue to leverage TPO 

process reengineering efforts to further define the USCIS EA. 

A third party assessment13 of the USCIS EA found that USCIS has a 

solid EA framework rated at “maturity level 3,” which means that 

the EA is capable of meeting business needs. This framework will 

help ensure that the EA will be sufficiently mature to guide design 

and development of IT solutions related to the USCIS 

transformation effort. 

IT Life Cycle Methodology Established 

In June 2007, USCIS implemented a formal IT life cycle 

management approach to be used as a framework for developing and 

maintaining all IT systems within USCIS. The framework 

emphasizes the entire life cycle rather than focusing solely on 

system development. Since the framework was institutionalized, all 

USCIS technology solution implementations, software development, 

and infrastructure-related projects must comply with related 

processes and guidelines. According to the IT System Engineering 

Branch, this approach has helped OIT to ensure that processes, 

documentation, and technology adhere to organizational standards 

and best practices. 

13 MITRE Corporation, “United States Citizenship and Immigration Service Enterprise Architecture 

Assessment,” October 17, 2008. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

Page 30 
0

50

100

150

200

250

auth filled

Se

Authorized Staff Positions Filled

160

242 100%

63%

auth filled

Se

IT Management Challenges Remain 

Despite the progress made to improve IT management functions, 

significant challenges remain for the OIT to carry out centralized, 

enterprise-wide IT management responsibilities. CIO staffing 

remains inadequate to administer support and guidance across all 

USCIS offices, and realigned staff received insufficient support. 

Further, effectively managing the array of locally developed IT 

systems has been difficult. Although the CIO has established 

guidance and tools to help standardize local IT development 

practices, the agency has yet to achieve effective centralized 

management of its IT. These challenges must be addressed for the 

CIO to meet the increasing demands to prepare the IT infrastructure 

and deliver IT service support for the agency’s transformation 

program. 

CIO’s Staffing Levels 

OIT staffing remains insufficient to effectively deliver IT services 

and support. In a 2006 self assessment, the OIT identified the lack 

of permanent IT staff as its most significant weakness. To address 

this weakness, the OIT increased its staff from 30 at the time of our 

2006 audit to 160 in December 2008. Despite these efforts, staffing 

remains a control weakness, with only about 63% of the 242 

authorized full time positions filled, as shown in Figure 8. 

0 

50 

100 

150 

200 

250 

Authorized Staff Positions Filled 

160 

242 100%

63% 

Figure 8: OIT Staffing Levels – December 2008 

Staffing in some OIT offices has fallen below a critical level. For 

example, only about 50% of the IT Service Support Division’s 

r 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

Page 31 
authorized positions are filled. This division oversees all services 

support, including systems administration, desktops, servers, service 

desk functions, and other regulatory activities. The impact of this 

staffing shortfall is apparent as the office performs day-to-day 

operations. Staff often work extra hours to meet the division’s daily 

operation demands, leading to an increase in staff attrition. As a 

result, this office faces significant challenges to support more than 

500 field IT personnel and the 4,000 new desktop users added since 

2007. 

According to the CIO, although OIT has hired about four staff per 

month, it has been difficult to recruit qualified staff in a timely 

manner and retain them. OIT managers attribute recruiting 

difficulties in part to the complex and lengthy hiring process. 

According to one IT Director in the field, obtaining a list of potential 

candidates takes an inordinate amount of time. Further, once the list 

is received, it often includes candidates who are not well suited for 

the position. Additional challenges in recruiting stem from an 

overly competitive market for skilled IT people. 

Although OIT in headquarters administers the staffing decisions for 

all field offices, there is no formal, overarching staffing plan. The 

OIT maintains an informal staffing resource document to track and 

manage vacancies and recruiting efforts. According to an OIT 

staffing official, this document enables the CIO to track how the 

office is progressing toward its target staffing goals. However, the 

document does not contain a clearly defined strategy with specific 

actions and milestones for recruiting and retaining qualified fulltime IT employees. 

Field IT Employees Need Better Support 

IT personnel realigned to the CIO have not received the support 

needed for effective and efficient operations. The OIG reported in 

2006 that IT employees who had moved to the CIO lacked adequate 

support in some areas. This condition still exists. 

During this audit, most field IT staff we spoke to stated that they 

have not been able to execute day-to-day operations efficiently since 

the realignment. Regional IT staff stated that basic administrative 

tasks, such as preparing time and attendance records and obtaining 

approvals for leave requests, are time consuming or confusing. For 

example, a number of personnel claimed that they must fax, email, 

and call contacts at headquarters numerous times to obtain the 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

Page 32 
 

required approvals for overtime, leave, or training. In addition, 

obtaining funding or reimbursements for expenses, such as overtime 

or training, is often time consuming or difficult. To address these 

concerns, the OIT recently awarded an administrative support 

contract to assist with day-to-day operations. Contract personnel 

will be responsible for, among other things, assisting with reports, 

purchase requests, and general office tasks. 

Similarly, field IT personnel stated that since realignment, roles and 

responsibilities are not always clearly documented or understood. In 

February 2008, a team was formed within a field office to pilot the 

OIT’s local application development concept. However, the IT staff 

involved in the pilot stated that the creation of the team has caused 

confusion. Specifically, the local IT staff included in the team had 

not been provided with the necessary guidelines and tools to 

perform their new job functions at the time of our review. Further, 

new roles and responsibilities for the pilot had not been effectively 

communicated. As a result, the team was unclear on the day-to-day 

activities for which it will be held accountable. 

Lastly, field staff and TPO staff experience delays in completing IT 

projects due to the length of time it takes for OIT to complete the IT 

service request process. Several TPO managers stated that the ITSR 

process is lengthy and cumbersome. Because headquarters receives 

service requests as part of the IT life cycle management process, it is 

important that it reply promptly. According to the IT Service 

Support lead at headquarters, there is no set timeframe for 

completing the service request process. A request may stay open 

longer if a contract transaction is required to complete a purchase. 

This situation is compounded due to a significant increase in 

requests from 2006 and 2008. As a result, it is difficult to manage 

the number of requests in a timely manner. OIT management stated 

that they are working to improve the process and establish a way for 

users to see the status of their service requests. However, the 

timeframe for finishing this effort was delayed because of budget 

cuts. 

USCIS Has Not Achieved Centralized IT Management 

The Clinger-Cohen Act of 199614 requires that CIOs review the IT 

budget within their agency or department to effectively manage IT 

systems and initiatives as strategic investments. Further, DHS MD 

14 Formerly the Information Technology Management Reform Act of 1996. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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0007.1 requires component CIOs to effectively manage and 

administer all component IT resources and assets. Although the 

USCIS OIT has made progress in establishing its IT governance 

functions, IT systems development efforts remain, in part, outside 

the purview of the CIO. 

The USCIS CIO does not have effective budgetary authority over IT 

investments. Although the CIO was granted IT budget authority by 

DHS-level management policies, consistent execution of that 

authority within the agency has been difficult to achieve. Field 

offices and business units with direct fee revenue or appropriated 

funds have not historically complied with budgetary control 

processes. Many OIT personnel stated that business representatives 

are too heavily involved in system and infrastructure change 

decisions, while the CIO does not have consistent investment 

decision-making authority. 

The CIO is also challenged to enforce compliance with IT system 

development control mechanisms, such as testing. The CIO finds 

this to be most challenging for large-scale IT programs, such as the 

transformation program, which are managed outside the OIT. In 

August 2008, the CIO identified the autonomy of the IT efforts of 

the USCIS transformation program and its exemption from normal 

USCIS controls as an emerging internal control deficiency. For 

example, the OIT requested that the transformation pilot systems 

undergo IV&V testing, as prescribed in the IT life cycle 

management process. The CIO also requested that the TPO consider 

the IT landscape for long-term, agency-wide scanning functionality. 

Instead, transformation program managers acquired agency 

leadership approval to “bypass” the IV&V process. Although this 

remains a concern, OIT management stated that compliance for 

IV&V testing among agency programs, such as transformation, is 

gradually improving. 

TPO and OIT management expressed concern that systems within 

the USCIS transformation could grow out of sync because of the 

independent and divergent directions being pursued by the TPO. 

For example, two separate efforts to implement an enterprise 

requirements tool are underway within the OIT and TPO. The OIT 

is currently standing up a requirements toolset called Korvair, with a 

contractor in place ready to test the first project. However, this 

endeavor may be in conflict with a duplicative requirements toolset 

being implemented as part of the transformation SA contract. 

According to the TPO, the contractor is developing a requirements 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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toolset. As a result, the OIT may have to change its current 

direction, leading to wasted time and money on planning and 

training for Korvair. TPO management stated that efforts are 

underway to address these issues. 

The continuation of decentralized IT program efforts has led to a 

growing number of local systems that are beyond the CIO’s current 

budget or staffing level to manage effectively. Although OIT still 

does not know the total number of local IT systems, USCIS field 

offices have reported thousands of applications that were developed 

“in-house.” Historically, these systems were developed to improve 

workflow of local business processes, and staff rely upon them to 

perform mission operations. However, because of the ad hoc 

manner in which these systems were created, field employees often 

did not properly document development efforts, making it difficult 

for local staff or headquarters OIT to support the systems. 

IT management challenges are further compounded when local 

systems compromise agency-wide IT infrastructure standards or 

security protocols. For example, one field office developed an 

application which was operating on unlicensed software and was 

compromising USCIS’ network infrastructure. Further, this 

application was developed without OIT support or authorization, 

resulting in a system operating without agency standard testing, 

infrastructure, or maintenance. After learning of the application and 

its associated infrastructure issues and security risks, the CIO 

assumed control of it to stabilize and sustain its operation for 

restricted use by the field office. Such efforts by the CIO are part of 

a long-term strategy to transition field systems to a more stable and 

secure environment in accordance with federal and agency 

guidelines and standards. 

Guidance for Local IT Development 

Rather than banning local IT systems that are sometimes necessary 

for day-to-day operations, the OIT is providing new policies, 

guidelines, and tools to standardize local IT development practices 

and improve management of existing systems. According to Service 

Engineering Division management, the OIT now has a more focused 

approach to manage local IT development efforts. For example, IT 

development efforts performed outside the OIT must adhere to the 

IT life cycle management process, governing body reviews, and 

tighter security policies. According to the OIT, such efforts may 

increase standardization of development efforts while decreasing 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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security and privacy concerns. This approach will be used as a 

temporary step to improve centralized management of local systems 

until new, integrated solutions are deployed with the transformation 

program. 

The OIT is also planning to pilot specific application development 

programs in field offices to provide a set of policies, guidelines, and 

tools to standardize IT system development efforts. To that end, the 

Service Engineering Division began a pilot in 2008 for a Standard 

Lightweight Operational Programming Environment, or SLOPE. 

This pilot will provide a common operating environment that can be 

used to develop small to mid-range databases and applications that 

align with the USCIS’ EA. Additionally, the OIT has continued to 

refine its Enterprise Service Bus as a method, or tool, for systems to 

communicate and share data. This will promote integration and 

reduce the complexity of new interfaces required to meet USCIS 

modernization goals. The OIT also is implementing new tools such 

as the Person-Centric Query System and the Standard Management 

Analysis Reporting Tool. Both systems are meant to enable 

personnel to digitally compare applicant data between systems and 

to view the most up-to-date information on any individual within the 

system. 

IT Infrastructure Improvements Underway 

USCIS has improved the IT infrastructure over the past three years; 

however, funding cuts have stalled current efforts. At the time of 

our review, the OIT was implementing IT upgrades for all 236 sites 

to deliver standardized desktops and increased network bandwidth. 

During FY 2008, USCIS deployed more than 5,000 standardized 

workstations to all USCIS domestic offices and most overseas 

operations, which represent approximately 20% of the enterprise 

workstation population. In addition, USCIS replaced and 

standardized the operating systems of all servers that run USCIS’ 

applications in offices across the enterprise. 

One primary area of focus in IT upgrades is the creation of a 

network environment to support new applications. The OIT planned 

to complete network improvements for 243 of 300 U.S. domestic 

offices and 31 of 71 overseas operations. However, these plans 

were delayed because of budget cuts. As a result, upgrades in only 

25 locations were completed as of January 2009. Without the 

necessary funding, the completion date of the remaining network 

upgrades is unknown. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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Finally, the OIT is installing an InfoPass Kiosk, a digital system that 

allows customers to make appointments in advance. As of January 

2009, OIT had installed 65 of the 119 kiosks, which are now the 

source of about 13% of all appointments. These installations are 

helping USCIS move away from paper-based operations. 

Upgrades Needed for Future Transformation Phases 

The OIT is conducting a full assessment to determine what changes 

must be made to the current IT environment to adequately prepare 

for the transformation. Infrastructure upgrades for the 

transformation include updating equipment, upgrading circuits, and 

improving system support. However, according to the OIT, 

considerable work remains to identify specific infrastructure 

requirements. OIT is collaborating with a TPO working group to 

review and assess the infrastructure needs of the proposed 

transformation solution. This working group also intends to 

evaluate what is feasible based on the current USCIS infrastructure. 

This collaboration will help the OIT decide where added 

infrastructure is needed and how to manage the effort as it moves 

forward. However, at the time of our review, costs and funding 

plans for infrastructure upgrades were not finalized. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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Conclusion 

Over the past two years, USCIS has elevated the transformation 

program to an agency-wide priority to more efficiently and 

effectively meet its mission of administering the nation’s 

immigration laws. The agency has developed a strategy to establish 

a new operational environment, which will be deployed over a sixyear period. This approach is made possible by a new fee structure. 

USCIS has also strengthened overall IT management and improved 

IT governance. 

However, the agency has made limited progress toward achieving 

long-term transformation goals to improve operations by deploying 

integrated, electronic benefits processing capabilities. USCIS has 

spent more than $117 million since 2005 to develop updated 

business processes and test the underlying technologies needed for 

electronic operations. Additionally, the agency is now embarking 

on a new $14.5 million IT services provider contract to further 

define the operational environment and enabling capabilities. 

However, business process engineering efforts have yet to be 

completed, and pilot programs have been implemented without the 

completion of operational performance reviews. In addition, 

stakeholder understanding of and participation in the transformation 

program has been limited, staffing remains a weakness, and USCIS 

has not achieved effective centralized management of IT. 

Since USCIS was established in 2003, the agency has encountered a 

significant backlog of cases which impedes its ability to adjudicate 

the increasing number of applications received each year, thus 

delaying the delivery of citizenship and immigration benefits to 

customers. In addition to addressing current operation needs, 

USCIS must also prepare for potential increases in benefits 

processing workloads that could result from proposed immigration 

reform legislation. Consequently, transformation will be critical to 

support the agency’s current workload, address the ongoing backlog, 

and prepare for potential future increases in demand for immigration 

benefits processing. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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Recommendations 

We are closing all recommendations in our 2006 report and are 

recommending that the Acting Deputy Director, USCIS: 

1.	 Develop an updated transformation approach, strategy, or plan to 

communicate end-state business processes and IT solutions to 

stakeholders. 

2.	 Develop and implement a plan to achieve sufficient and 

consistent stakeholder participation in process reengineering and 

requirements definition activities. 

3.	 Complete evaluations to document the results and lessons 

learned from the pilot and proof-of-concept programs. 

4.	 Develop a USCIS OIT staffing plan that includes specific 

actions and milestones for recruiting and retaining fulltime 

employees. 

5.	 Communicate guidelines and procedures for acquiring, 

developing, and managing IT solutions, as defined by the DHS 

and USCIS CIOs, to stakeholders. 

6.	 Provide the CIO agency-wide budget and investment review 

authority for all USCIS IT initiatives and system development 

efforts. 

Management Comments and OIG Analysis 

We obtained written comments on a draft of this report from the 

Acting Deputy Director, U.S. Citizenship and Immigration Services. 

We have included a copy of the comments in their entirety at 

Appendix B. 

In the comments, the Acting Deputy Director concurred with our 

recommendations and agreed that USCIS faces challenges 

modernizing IT. The Acting Deputy Director, however, also stated 

concern that the report does not sufficiently acknowledge 

transformation progress made since our prior review in 2006. We 

have reviewed the Acting Deputy Director’s comments and made 

changes to the report as appropriate. The following is an evaluation 

of the comments provided by USCIS. 

In response to recommendation 1, the Acting Deputy Director stated 

that USCIS has fully addressed the recommendation. The Acting 

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Deputy Director elaborated on a number of initiatives to 

communicate plans and to achieve internal and external stakeholder 

participation. Specifically, a communications plan has been 

established, which includes an agency-wide approach for using 

multiple communications strategies to prepare stakeholders for 

reengineered business processes. Further, commitment to agencywide communications was demonstrated through a broadcast by the 

director in 2007 to encourage employee involvement in 

transformation efforts. Finally, efforts to engage field offices and 

key partners in transformation were evident during the SA’s Request 

for Proposal stage, as meetings were conducted with key internal 

and external partners. Going forward, the SA plans to employ a 

change management and communications plan that includes 

frequent and continuous communication between USCIS and 

stakeholders. Consequently, the Acting Deputy Director requested 

that recommendation 1 be closed. 

We have reviewed the steps USCIS has taken to implement a 

communications approach, ensure knowledge sharing, and to engage 

stakeholders in transformation program efforts. We recognize the 

progress made in this area since our prior review. However, USCIS 

has not developed an updated transformation approach. This 

approach should include business processes and IT solutions once 

they are defined. At the time of our review, an up-to-date, 

comprehensive transformation approach did not exist. USCIS 

executives stated that such an approach will likely be established 

once current work with the SA progresses. 

Once an updated transformation approach is defined, USCIS should 

communicate this plan to its stakeholders, explaining how the endstate program will improve business processes and IT to support 

USCIS’ final transformation solution. 

In response to recommendation 2, the Acting Deputy Director 

requested that this recommendation be closed, stating that a 

governance approach has been established. The Acting Deputy 

Director stated that USCIS has engaged representatives from partner 

agencies and communities to collaborate and provide feedback and 

expects these efforts to foster awareness and buy in on 

transformation program initiatives. 

We recognize that USCIS has recently updated the transformation 

governance structure to improve management of program initiatives. 

Specifically, this approach is intended to engage subject matter 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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experts and external stakeholders in transformation business 

requirements and process reengineering efforts through working 

integrated project teams. However, this approach was being 

established at the conclusion of our audit review and was not yet 

implemented during pilot and proof-of-concept execution. 

Consequently, maintaining adequate stakeholder involvement and 

consistent participation was a challenge, creating the need for more 

formal, integrated team structures. We expect that USCIS’ newly 

formed approach will help to ensure that future process 

reengineering and requirements definition activities will achieve 

more effective stakeholder involvement. We look forward to 

receiving USCIS’ plan to achieve sufficient and consistent 

stakeholder participation in process reengineering and requirements 

definition activities and the results of the plan’s implementation. 

In response to recommendation 3, the Acting Deputy Director 

agreed to complete a “lessons learned” document about the SIMS 

proof-of-concept and the EDMS pilot. In addition, USCIS agreed 

that all future proof-of-concepts and pilots would entail lessons 

learned to support the transformation process. We are encouraged 

by these plans and look forward to receiving results and lessons 

learned about the proof-of-concept and pilot. 

In response to recommendation 4, the Acting Deputy Director stated 

that OIT is currently 75% staffed with expectations to reach 90% by 

the end of FY 2009 and 100% by the end of FY 2010. The agency 

is using hiring incentives, recruitment tools, and special 

appointments to fill vacancies and retain staff. Additionally, the 

agency is participating in job and career fairs and broadening 

recruitment into non-traditional USCIS job series. We are 

encouraged by the efforts outlined and look forward to receiving 

documented staffing plans with specific actions and milestones for 

recruiting and retaining fulltime employees. 

In response to recommendation 5, the Acting Deputy Director 

outlined steps taken to improve governance and management of 

agency-wide IT. Additionally, the Acting Deputy Director stated 

that USCIS will continue to work toward improving IT support for 

programs and stakeholders. We believe the steps outlined in 

USCIS’ response will help to improve agency awareness and 

understanding for acquiring, developing, and managing IT solutions. 

We look forward to receiving progress updates about future efforts 

to ensure guidelines and procedures for acquiring, developing, and 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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managing IT solutions are communicated and enforced to 

stakeholders. 

In response to recommendation 6, the Acting Deputy Director stated 

that the CIO has representation on the USCIS Senior Review Board, 

the Leadership Alignment Team, the Transformation Leadership 

Team, and the IT Systems Change Control Board. Additionally, the 

CIO maintains involvement in the Transformation Program’s 

Working Integrated Project Teams and Stakeholder Information and 

Participation meetings. We recognize the position of the CIO within 

the agency’s various governing bodies and believe these are steps in 

the right direction to achieve agency-wide budget and investment 

review authority. We look forward to receiving evidence of the 

CIO’s continued, active review of all USCIS IT initiatives and 

system development efforts. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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Appendix A 

Objective, Scope, and Methodology 

The objective of this review was to determine whether USCIS is 

implementing its transformation initiatives in efficient and effective 

manner and had addressed our prior report recommendations. 

We researched and reviewed federal laws and executive guidance 

related to USCIS’ immigration benefits processes and systems. We 

reviewed recent Government Accountability Office and OIG reports 

to identify prior findings and recommendations. We coordinated 

with the USCIS Ombudsman to ensure that a review it was 

conducting did not overlap with our objectives. In line with our 

compliance follow-up responsibilities, we evaluated documents that 

USCIS provided from September to December 2008, including 

updated action plans and milestones, on activities to address our 

November 2006 report recommendations. Using this information, 

we designed a data collection approach, consisting of focused 

interviews and document analysis, to conduct our follow-up review. 

We developed a series of questions and discussion topics for our 

interviews. 

Subsequently, we conducted interviews at USCIS headquarters and 

field offices and gathered supporting documentation to meet our 

audit objectives. At headquarters we interviewed senior USCIS 

business leaders, including the Deputy Director and Chief Financial 

Officer, to discuss their roles and responsibilities related to USCIS 

business and IT transformation. We were particularly interested in 

transformation planning, business process reengineering, 

requirements gathering, and pilot program implementation activities. 

We collected numerous documents from these offices about USCIS 

accomplishments, current initiatives, and future plans for 

transformation. 

We met with the USCIS CIO to obtain updates to the agency’s IT 

modernization efforts and supporting organizational structure. We 

interviewed OIT personnel to learn about the efforts to centralize IT 

personnel and to upgrade and standardize IT hardware and software. 

OIT managers discussed accomplishments in implementing desktop 

upgrades, while OIT employees discussed the office’s involvement 

with transformation and newly implemented IT standard tools. To 

support their comments, these officials provided copies of OIT 

reorganization plans, as well as documentation regarding IT systems, 

budgets, and operations. 

We visited four USCIS field locations where we toured facilities and 

interviewed senior managers, IT specialists, and other employees. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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Appendix A 

Objective, Scope, and Methodology 

We discussed the IT staff centralization progress, local IT 

development practices, and user involvement and communications 

with headquarters concerning transformation. We gathered 

information on current IT development initiatives and learned about 

system requirements specific to field offices. We sought to evaluate 

existing practices for managing IT in the field and the extent to 

which headquarters provides tools for field users. Where possible, 

we obtained reports and other materials to support the information 

provided during the interviews. 

We conducted our audit from September 2008 to December 2008 at 

USCIS headquarters in Washington, D.C., and at USCIS field 

locations in Lincoln, Nebraska; Lee’s Summit, Missouri; Kansas 

City, Missouri; and Dallas, Texas. We performed our work 

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 on our audit objectives. We believe 

that the evidence obtained provides a reasonable basis for our 

findings and conclusions, based on our audit objectives. 

The principal OIG points of contact for this audit are Frank Deffer, 

Assistant Inspector General for Information Technology Audits, and 

Richard Harsche, Director of Information Management. Major OIG 

contributors to the audit are identified in Appendix D. 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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Appendix B 

Management Response to Draft Report 

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Appendix B 

Management Response to Draft Report 

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Appendix B 

Management Response to Draft Report 

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Appendix B 

Management Response to Draft Report 

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Appendix B 

Management Response to Draft Report 

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Appendix B 

Management Response to Draft Report 

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Appendix B 

Management Response to Draft Report 

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Appendix B 

Management Response to Draft Report 

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Appendix C 

Major Contributors to the Report 

Information Management Division 

Richard Harsche, Division Director 

Kristen Evans, Audit Manager 

Shannon E. Frenyea, Auditor 

Melissa Keaster, Auditor 

Anna Tyler, Auditor 

Amanda Strickler, Referencer 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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Appendix D 

Report Distribution 

Department of Homeland Security 

Secretary 

Deputy Secretary 

Chief of Staff for Operations 

Chief of Staff for Policy 

Acting General Counsel 

Executive Secretariat 

Chief Information Officer 

Deputy Chief Information Officer 

Acting Chief Financial Officer 

Acting Chief Procurement Officer 

Director, GAO/OIG Liaison Officer 

United States Citizenship and Immigration Services, Acting Deputy Director 

United States Citizenship and Immigration Services, Chief Information Officer 

Assistant Secretary for Policy 

Assistant Secretary for Public Affairs 

Assistant Secretary for Legislative Affairs 

Office of Management and Budget 

Chief, Homeland Security Branch 

DHS OIG Budget Examiner 

Congress 

Congressional Oversight and Appropriations Committees, as appropriate 

U.S. Citizenship and Immigration Services’ Progress in Modernizing Information Technology 

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ADDITIONAL INFORMATION AND COPIES 

To obtain additional copies of this report, please call the Office of Inspector General (OIG) at (202) 254-4199, 

fax your request to (202) 254-4305, or visit the OIG web site at www.dhs.gov/oig. 

OIG HOTLINE 

To report alleged fraud, waste, abuse or mismanagement, or any other kind of criminal or noncriminal 

misconduct relative to department programs or operations: 

• Call our Hotline at 1-800-323-8603; 

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• Email us at DHSOIGHOTLINE@dhs.gov; or 

• Write to us at: 

DHS Office of Inspector General/MAIL STOP 2600, 

Attention: Office of Investigations - Hotline, 

245 Murray Drive, SW, Building 410, 

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