Department of Homeland Security 

Office of Inspector General 

Review of U.S. Coast Guard Enterprise Architecture
 

Implementation Process
 

OIG-09-93 July 2009 

Contents/Abbreviations
 

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


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


Results of Audit ......................................................................................................................5 


Progress Made with the Coast Guard’s Enterprise Architecture ................................5 


Challenges Remain to Complete Enterprise Architecture Efforts ............................11 


Recommendations.................................................................................................................15
 

Management Comments and OIG Analysis .........................................................................16 


Appendixes 

Appendix A: Scope, Objective, and Methodology .....................................................17 


Appendix B: Management Response to Draft Report ................................................18 


Appendix C: Major Contributors to the Report ..........................................................20 


Appendix D: Report Distribution................................................................................21 


Abbreviation 

C4&IT Command, Control, Communication, Computers, and Information 

Technology
 

DHS Department of Homeland Security 


EAB Enterprise Architecture Board 


IT Information Technology
 

TEAMS The Enterprise Architecture Management System 


Figures 

Figure 1 Office of Enterprise Architecture and Governance Reporting Chain .....3 


Figure 2 Office of Enterprise Architecture and Governance.................................4 


Figure 3 Coast Guard’s Enterprise Architecture Framework ................................6 


Figure 4 Enterprise Architecture Perspective Data Levels....................................7 


Figure 5 Enterprise Architecture Profiles, Models, and Inventories .....................7 


Figure 6 Status of Products for Profiles, Models, and Inventories ......................13 

OIG
 

Department of Homeland Security 

Office of Inspector General 

Executive Summary 

We audited the United States Coast Guard’s (Coast Guard) effort 

to develop and implement an enterprise architecture to support its 

business processes and information technology (IT) decision 

making. The objectives of this audit were to determine the level of 

compliance with established federal guidance and the Department 

of Homeland Security’s enterprise architecture policies and 

procedures, and to determine whether the Coast Guard has aligned 

its strategic plans and individual business priorities within an 

appropriate enterprise architecture framework. 

The Coast Guard has made progress in developing its enterprise 

architecture by defining its enterprise architecture framework in 

alignment with both federal and DHS architectures. In addition, its 

enterprise architecture is aligned with the Coast Guard’s IT 

strategy. These achievements have been possible because of 

executive support for the enterprise architecture effort. 

The enterprise architecture effort is not without challenges, 

however. Specifically, the Coast Guard enterprise architecture is 

not yet fully integrated across the Coast Guard. That is, the 

enterprise architecture does not show fully how major information 

systems fit together. Additionally, Coast Guard enterprise 

architecture planning and documentation have not been completed. 

Coast Guard enterprise architecture management stated that a 

shortage of staff has been the main reason for not completing 

enterprise architecture planning and documentation. As a result, 

the Coast Guard enterprise architecture has realized only partial 

benefits thus far. 

We are recommending that the Commandant of the Coast Guard 

direct the Office of Enterprise Architecture and Governance to 

complete and integrate the enterprise architecture data elements, 

profiles, models, and inventories; and complete the required Coast 

Guard enterprise architecture documentation. To complete these 

activities, we also recommend that the Office of Enterprise 

Architecture and Governance be provided with sufficient 

resources. 

Review of U.S. Coast Guard Enterprise Architecture Implementation Process 

Page 1 
Background 

The Coast Guard is a maritime military service within the 

Department of Homeland Security and one of the nation's five 

armed services. Its mission is to save lives, safeguard maritime 

borders, respond to natural and man-made disasters, and interdict 

illegal drugs. The Coast Guard has a heavy reliance on technology 

to support and provide information to achieve its mission. In fiscal 

year 2008, the Coast Guard’s IT budget was $610 million. 

A critical component of IT decision making is an enterprise 

architecture. An enterprise architecture that describes and 

documents the current and desired relationships among business 

and management processes and IT can help leaders view business 

and technical information so that they can make important IT 

investment decisions. In addition, an enterprise architecture can 

help agencies properly align their resources to agency mission, 

strategic goals, and objectives. 

An enterprise architecture is composed of three main parts—the 

As-Is enterprise architecture, the Enterprise Transition Plan, and 

the To-Be enterprise architecture. The As-Is enterprise 

architecture portrays the existing enterprise, current business 

practices, and technical infrastructure. The Enterprise Transition 

Plan shows the transition of the agency’s enterprise architecture 

from its As-Is to its To-Be state. The To-Be enterprise 

architecture, also known as a Target enterprise architecture, 

portrays the future business practices and technical infrastructure. 

The To-Be enterprise architecture should be in line with the 

agency’s strategic plan. 

An enterprise architecture typically uses a framework that looks at 

the agency’s business and IT information through different 

perspectives. This framework promotes information sharing and 

business integration. The framework perspectives include: 

�	 Performance: Information about the measurement of an 

agency’s strategic and business outcomes. 

� Business: The functions and activities that an agency 

performs. 

�	 Information: The information needed to perform the agency’s 

mission and business activities. 

�	 Service: The systems and applications with their capabilities 

and functions that support information requirements. 

�	 Technology: The underlying technology infrastructure that 

supports an agency’s service delivery. 

Review of U.S. Coast Guard Enterprise Architecture Implementation Process 

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� Security: How an agency assures the confidentiality, integrity, 

availability, and privacy of its information. 

The Coast Guard’s Office of Enterprise Architecture and 

Governance provides the leadership and direction to ensure 

effective planning, management, and governance1

 of IT resources 

and the Coast Guard enterprise architecture. The office’s Chief 

Architect reports directly to the Deputy Chief Information Officer. 

Figure 1 shows the office’s reporting relationships within the Coast 

Guard. 

Figure 1: Office of Enterprise Architecture and Governance Reporting 

Chain 

The Office of Enterprise Architecture and Governance 

responsibilities include: 

�	 Developing, documenting, and maintaining the Coast Guard 

enterprise architecture and the Coast Guard’s IT plans; 

�	 Supporting performance results, mission-technology alignment, 

information sharing and accessibility, component re-use of IT, 

systems interoperability and integration, technology standards, 

and information assurance; 

�	 Validating and maintaining requirements to ensure alignment 

of the Coast Guard enterprise architecture and IT plans; 

�	 Implementing a repository of IT business and technology 

information. 

1

 IT Governance helps enterprises to gain value from information and IT while ensuring that IT remains 

aligned with the enterprise strategy, values, and culture. 

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The Office of Enterprise Architecture and Governance structure 

currently contains the organizations shown in Figure 2. 

Figure 2: Office of Enterprise Architecture and Governance 

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Results of Audit 

Progress Made with the Coast Guard’s Enterprise 

Architecture 

Federal guidance requires that agencies develop an enterprise 

architecture to govern their business processes and IT.2 Toward 

that end, the Coast Guard has made significant progress in 

developing its enterprise architecture. Specifically, the Coast 

Guard has defined its enterprise architecture framework; 

completed the majority of its enterprise architecture data profiles, 

models, and inventories; and aligned its enterprise architecture 

with its IT strategic plan. These achievements have been, in part, 

possible because of the Coast Guard’s strong executive support for 

its enterprise architecture program. As a result, it is well 

positioned to implement an enterprise architecture that aligns to 

federal mandates and supports the agency’s mission. 

Enterprise Architecture Framework Defined 

The Coast Guard has defined an enterprise architecture framework 

that is intended to provide a blueprint for modernizing and 

transforming the Coast Guard’s IT systems to meet future mission 

capabilities and requirements. When fully implemented, the Coast 

Guard enterprise architecture can help assure that the Coast Guard 

business strategy and IT investments are aligned to support its 

vision and missions. This assurance can promote interoperability, 

reduce duplication, and optimize overall mission performance to 

allow the Coast Guard to respond rapidly, effectively, and 

positively to opportunities and challenges. 

The Coast Guard enterprise architecture framework3

 shown in 

Figure 3 contains the six perspectives that will allow stakeholders 

to compare and relate information across mission and 

organizational boundaries to promote information sharing and 

integration. These perspectives align to both the Federal and DHS 

Enterprise Architectures. 

2 E-Government Act of 2002, Public Law 107-347. 
 3

 United States Coast Guard, Enterprise Architecture Executive Handbook, Release 2 (March 2008). 


Review of U.S. Coast Guard Enterprise Architecture Implementation Process 

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Figure 3: Coast Guard’s Enterprise Architecture Framework 

Enterprise Architecture Profiles, Models, and Inventories Mostly Completed 

Each Coast Guard enterprise architecture framework perspective 

contains three levels of data detail, known as profiles, models, and 

inventories. 

�	 Profile: Provides executive decision-makers with a graphic 

view of strategic-level data to simplify complex information 

concerning the various enterprise architecture perspectives. 

�	 Model: Provides a graphical view of mid-level data and its 

connections between the enterprise architecture perspectives, 

such as the relationships between processes, entities, and 

information exchanges. 

�	 Inventory: Provides a detailed view and description of the data 

within each enterprise architecture perspective. 

These data levels are shown in Figure 4. 

Review of U.S. Coast Guard Enterprise Architecture Implementation Process 

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Figure 4: Enterprise Architecture Perspective Data Levels 

Once the three data levels for each perspective are completely 

documented, an enterprise architecture is considered to be fully 

integrated and can then be used to provide valuable relationships 

among enterprise-level processes and IT. 

The Coast Guard has identified all of the enterprise architecture 

data profiles, models, and inventories for each of the six enterprise 

architecture perspectives. In addition, the Coast Guard has defined 

and documented the majority of these levels of data. Specifically, 

21 of the 24 profiles, 4 of the 7 models, and 15 of the 22 

inventories identified have been entered into the Coast Guard 

enterprise architecture. Figure 5 shows the completion of these 

Coast Guard enterprise architecture data elements. 

22 

7 

24 

15 

4 

21 

7 

3 

3 

0 5 10 15 20 25 30 

Inventories

Models

Profiles

Not Complete 

Complete 

Total Identified 

Figure 5: Enterprise Architecture Profiles, Models, and Inventories 

Although enterprise architecture documentation has yet to be 

completed, the Coast Guard has already begun using the Coast 

Guard enterprise architecture. For example, program managers 

responsible for technology implementation projects have begun to 

Review of U.S. Coast Guard Enterprise Architecture Implementation Process 

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refer to the Coast Guard enterprise architecture’s IT inventory 

when beginning new IT projects. In addition, Coast Guard 

enterprise architecture’s IT products and standards inventory is 

referred to almost daily to identify existing IT products and 

technical standards used to deliver Coast Guard services and IT 

capabilities. Regular use of these inventories should help to 

identify and prevent potential duplication of technology across the 

agency. 

Enterprise Architecture Aligned to IT Strategy 

The Coast Guard enterprise architecture effort generally aligns to 

the agency’s overall IT strategy. The Coast Guard’s IT Strategic 

Plan identifies five high-level goals relating to Information, 

Technology, Governance, Organizational Excellence, and Security. 

The Coast Guard has developed enterprise architecture-specific 

milestones for three of the five goals—Information, Technology, 

and Governance. Also, the Coast Guard reports that it has 

achieved all of the fiscal year 2008 enterprise architecture 

milestones for these three goals, as follows: 

Information 

The IT Strategic Plan defines the Information goal as improving 

and encouraging information sharing, quality, efficiency, and 

compliance throughout the Coast Guard. The enterprise 

architecture 2008 milestones identified and met for the Information 

goal include: 

�	 Published the Coast Guard Information Management Strategy, 

�	 Completed the Systems Development Life Cycle of the 

enterprise architecture repository, The Enterprise Architecture 

Management System (TEAMS), 

� Completed certification and accreditation for TEAMS, and 

�	 Established the Enterprise Data Management Office and the 

Enterprise Geospatial Management Office. 

Technology 

The IT Strategic Plan defines the Technology goal as delivering 

mission-focused, interoperable, innovative, and net-centric 

Command, Control, Communications, Computing, and IT (C4&IT) 

using enterprise-wide solutions, and optimized infrastructure, and 

electromagnetic spectrum frequency. The enterprise architecture 

2008 milestones identified and met for the Technology goal 

include: 

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�	 Finalized the Enterprise Architecture Board (EAB) submission 

form, and 

�	 Published release 2 of the Coast Guard Enterprise Architecture 

Executive Handbook. 

Governance 

The IT Strategic Plan defines the Governance goals as providing 

C4&IT governance to meet requirements and encourage effective 

enterprise architecture, capital planning and investment control, 

systems development life cycle, project management, and 

performance measurement processes. The enterprise architecture 

2008 milestones identified and met for the Governance goal 

include: 

�	 Published release 2 of the Coast Guard Enterprise Architecture 

Executive Handbook, 

�	 Supported the DHS Office of Inspector General’s audit of the 

Coast Guard’s Enterprise Architecture, 

�	 Conducted EAB reviews, 

�	 Published the Coast Guard Information Management Strategy, 

�	 Completed the TEAMS system development life cycle, and 

�	 Completed certification and accreditation for TEAMS. 

The progress made in completing the enterprise architecturespecific milestones demonstrates the Coast Guard’s commitment to 

ensuring the strategic alignment of its enterprise architecture effort 

to the overall agency goals for improving IT direction. As a result, 

the Coast Guard is in a good position to use the Coast Guard 

enterprise architecture to achieve its IT strategic goals and to 

provide the agency with an effective way to identify cost savings 

opportunities and to reduce redundancy across its IT environment. 

Executive Support 

The Coast Guard’s enterprise architecture development has been 

successful thus far due to the commitment and support provided by 

Coast Guard management. For example, Coast Guard 

management showed its commitment to the enterprise architecture 

program through approval of the enterprise architecture Board 

charter. The charter gives the Board the authority to make 

recommendations to the Coast Guard’s Investment Review Board, 

including guidance on IT investment decisions. From December 

2007 to September 2008, the Coast Guard’s enterprise architecture 

Board reviewed 30 proposed IT projects. The results of these 

reviews were used by the Investment Review Board to make IT 

investment decisions better aligned to the Coast Guard’s mission. 

Review of U.S. Coast Guard Enterprise Architecture Implementation Process 

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The Coast Guard further showed its support by selecting a senior 

Coast Guard officer as a subject matter expert to work with the 

Office of Enterprise Architecture and Governance, who is 

committed for three years to provide enterprise architecture 

support and insight into the Coast Guard’s business processes. 

Review of U.S. Coast Guard Enterprise Architecture Implementation Process 

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Challenges Remain to Complete Enterprise Architecture 

Efforts 

Although significant progress has been made, the Office of 

Enterprise Architecture and Governance has struggled to complete 

the Coast Guard enterprise architecture. Specifically, it has not 

integrated the enterprise architecture or completed plans and 

enterprise architecture documentation because of staffing 

shortages. Until these actions are completed, the Coast Guard will 

not realize the full benefits of its enterprise architecture and the 

program risks losing executive support. 

Coast Guard Enterprise Architecture Not Integrated Fully 

The Coast Guard has not fully integrated its enterprise architecture. 

Integration is needed to show how the data from various major 

information systems fits together. There are 3 profiles, 3 models, 

and 7 inventories for the enterprise architecture that have not been 

completed. The 3 profiles not completed are: 

�	 C4&IT Performance Profile: The C4&IT performance metrics 

as they relate to the DHS performance areas and federal 

enterprise architecture Business Reference Model. 

�	 Balanced Scorecard for C4&IT: An overview of Coast Guard 

C4&IT performance related to business process, learning and 

growth, customers, and finances. 

�	 External Services Profile: Provides a high-level view of 

systems leveraged at the Coast Guard but managed outside the 

Coast Guard. 

The 3 models not completed are: 

�	 Unified Performance Logic Model: A framework for 

planning, managing, measuring, and evaluating Coast Guard 

enterprise architecture programs. It illustrates the cause and 

effect linkages between program activities and outcome results. 

�	 Business Models: Displays Coast Guard enterprise 

architecture business activities and can be used to identify 

dependencies, redundancies, and gaps between the Coast 

Guard’s activities. 

�	 Applications to Business Activities Matrix: Describes the 

relationship between Coast Guard services and activities. 

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The 7 inventories not completed are: 

�	 Functional Statements: Describes the roles and missions of the 

Coast Guard headquarters offices. 

�	 Information Inventory: Shows all information objects, 

produced, archived, and/or required for Coast Guard enterprise 

architecture activities, reporting, and decision making, and 

their relationship within the DHS Conceptual Data Model. 

�	 Information Exchange Matrix: Identifies the information 

transfers that are necessary to achieve Coast Guard tasks. 

�	 Information Dictionary: Identifies, defines, and provides 

additional data to describe items listed in the information 

inventory. 

�	 Services Inventory: Aligns Coast Guard applications and 

systems to the federal enterprise architecture. As such, it helps 

to explain the services offered by each of the Coast Guard's 

applications and systems. 

�	 External Services Inventory: Describes systems managed 

outside the Coast Guard and is organized by grouping 

applications to systems. The content includes attributes across 

each of the six Coast Guard perspectives and provides a 

baseline mapping assets to the DHS and federal enterprise 

architectures. 

� Frequency Spectrum Inventory: Lists the frequency spectrums 

necessary for the Coast Guard’s mission operations. 

Figure 6 shows the profiles, models, and inventories completed 

and not completed for the six enterprise architecture perspectives. 

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Figure 6: Status of Products for Profiles, Models, and Inventories 

Without a full set of “As Is” profiles, models, and inventories, the 

Coast Guard has been unable to integrate fully the Coast Guard 

enterprise architecture across the six defined perspectives. As a 

result, the Coast Guard may be hindered in its ability to use its 

enterprise architecture effectively to increase interoperability, 

reduce duplication of IT, and optimize the agency’s overall 

mission performance. 

Coast Guard Enterprise Architecture Plans and Documentation Not Complete 

Although the Office of Enterprise Architecture and Governance 

has completed a significant amount of planning and governance 

documentation, several plans and documents still require 

completion. For example, the To-Be enterprise architecture and 

the Transition Plan have not been completed. Without the To-Be 

enterprise architecture, the Coast Guard has not defined its future 

business practices and technical infrastructure. The Transition 

Plan, which is developed after completion of the To-Be enterprise 

architecture, would show how the Coast Guard intends to move 

from its current, As-Is enterprise architecture to its target, To-Be 

enterprise architecture. 

Also, the enterprise architecture charter, program plan, and concept 

of operations for two enterprise architecture organizations, the 

Enterprise Data Management Office and the Geospatial 

Management Office, have not been developed. Once complete, an 

enterprise architecture charter should identify the initial roles and 

Review of U.S. Coast Guard Enterprise Architecture Implementation Process 

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responsibilities of work teams and establish the enterprise 

architecture phases and tasks required. Program plans describe 

both the “as-is” and the “to-be” environments of the enterprise, as 

well as a method to transition from the “as-is” to the “to-be.” 

Finally, a concept of operations is intended to describe both the 

current business environment and the future process planned to 

manage operations. 

Completely documented models within the enterprise architecture 

framework are necessary to improve the Coast Guard’s ability to 

achieve its mission-based business objectives, reduce cost, and 

improve IT and business performance. The incomplete enterprise 

architecture plans and documentation could result in duplication of 

effort and increased IT costs. Until the Coast Guard can complete 

its target architecture and transition plan, it will have a reduced 

ability to identify IT gaps, redundancies, inefficiencies, and 

opportunities for technology and process improvement. 

Enterprise Architecture Staffing is Limited 

Coast Guard executives stated that enterprise architecture profiles, 

models, inventories, and necessary documentation have not been 

completed due to staff shortages. The Coast Guard’s enterprise 

architecture staffing included 8 full-time personnel. Enterprise 

architecture management has identified a need for at least 15 fulltime staff or equivalent contractor support. 

Enterprise architecture management stated that current staff 

worked well together and had significant experience in the areas of 

governance, enterprise architecture software use, business 

architecture design, project management, and communications. 

However, there is a need for additional staff with expertise in 

program management, data architecture, application architecture, 

and geospatial knowledge. Enterprise architecture management 

stated that without adequate staff, it will be difficult to complete 

enterprise architecture integration, documentation and planning, 

and benefits communication activities. 

Coast Guard management recognizes its enterprise architecture 

staffing challenges. Specifically, in May 2009, the Office of 

Enterprise Architecture and Governance assessed its staffing needs 

to ensure that the Coast Guard enterprise architecture program has 

sufficient staff with the right skills and experience. The 

assessment addresses both the strengths and weaknesses of current 

staff and identifies the number of additional full-time staff needed 

broken down by their roles and required skills. 

Review of U.S. Coast Guard Enterprise Architecture Implementation Process 

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The Office of Enterprise Architecture and Governance also 

identified the activities that it could accomplish with the additional 

staff. For example, the Office could begin the development of 

business architecture models, the development and maintenance of 

the Coast Guard Data Asset Catalog, Enterprise Data Catalog, and 

Data Asset Repository, and expand support of the Coast Guard’s 

efforts to establish, monitor, and maintain C4&IT governance. 

Enterprise Architecture Benefits Realized Partially 

The completion of the enterprise architecture framework and the 

availability of documented IT systems and standards have provided 

the Coast Guard with some benefits. For example, the framework 

provides a common structure that helps stakeholders to understand 

the various business and technical information within the Coast 

Guard. Also, the IT systems and standards documented within the 

Coast Guard’s enterprise architecture have provided program 

managers with the ability to identify IT products already in use. 

However, enterprise architecture management was unable to 

provide specific examples of where the Coast Guard enterprise 

architecture has reduced cost, identified duplicative IT, or better 

aligned IT to the agency’s mission and goals. Without completing 

the enterprise architecture integration and documentation activities, 

it will be difficult for the Coast Guard to demonstrate enterprise 

architecture benefits, which may result in loss of enterprise 

architecture program executive and stakeholder support. 

Recommendations 

We recommend that the Commandant of the Coast Guard direct 

the Office of Enterprise Architecture and Governance to: 

1.	 Complete and integrate the enterprise architecture data profiles, 

models, and inventories. 

2.	 Complete required enterprise architecture documentation. 

We also recommend that the Commandant of the Coast Guard: 

3.	 Provide the Office of Enterprise Architecture and Governance 

with sufficient resources to complete required enterprise 

architecture activities. 

Review of U.S. Coast Guard Enterprise Architecture Implementation Process 

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Management Comments and OIG Analysis 

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

Chief of the Office of Budget and Programs. We have included a 

copy of the comments in their entirety in Appendix B. 

In the comments, the Chief of the Office of Budget and Programs 

concurred with our recommendations and stated that corrective 

actions have been initiated to resolve deficiencies identified. We 

believe that such efforts are good steps toward mitigating the 

various issues we raised in our report and look forward to learning 

more about continued progress and improvements in the future. 

In response to recommendation 1, the Chief of the Office of 

Budget and Programs stated that the Office of Enterprise 

Architecture and Governance continues to work to complete and 

integrate data profiles, models, and inventories and is working to 

close the gap on the seven inventories not yet complete as well as 

the three models not finalized. 

Responding to recommendation 2, the Chief of the Office of 

Budget and Programs stated that the To-Be enterprise architecture 

and Transition Plan are currently under development. 

Additionally, several other planning documents, including an 

enterprise architecture charter, program plan, and concept of 

operations are under development. 

In response to recommendation 3, the Chief of the Office of 

Budget and Programs stated that the Coast Guard is committed to 

providing the Office of Enterprise Architecture and Governance 

with the appropriate level of resources, given overall enterprise 

architecture development requirements. 

Review of U.S. Coast Guard Enterprise Architecture Implementation Process 

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Appendix A 

Scope, Objective, and Methodology 

We reviewed the Coast Guard enterprise architecture to determine 

the level of compliance with established federal guidelines and 

DHS enterprise architecture policies and procedures, and to 

determine whether the Coast Guard has aligned its strategic plans 

and business priorities within an appropriate enterprise architecture 

framework. 

We researched and reviewed federal guidance and standards and 

DHS’ guidance regarding enterprise architecture, governance, and 

Capital Planning and Investment Control. Using this information 

we developed a data collection approach consisting of analyzing 

documentation, interviewing staff, attending system walkthroughs, 

and observing board meetings to accomplish our audit objectives. 

We interviewed staff members from various Coast Guard 

organizations with responsibility for and knowledge of enterprise 

architecture activities at Coast Guard’s headquarters in 

Washington, DC. These interviews were performed to obtain a 

better understanding of Coast Guard enterprise architecture. 

Interview questions were based on DHS’ guidance and policies; 

and Coast Guard’s policies, procedures, and related enterprise 

architecture management and governance practices. 

We conducted our audit from April 2008 through April 2009 under 

the authority of the Inspector General Act of 1978, as amended. 

We conducted this performance audit 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 C. 

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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 

Richard Harsche, Director, Department of Homeland Security, 

Information Management 

Ernest Bender, Audit Manager, Department of Homeland Security, 

Information Management 

Karen Nelson, Senior Auditor, Department of Homeland Security, 

Information Management 

Erin Dunham, Auditor, Department of Homeland Security, 

Information Management 

Charles Twitty, Referencer, Department of Homeland Security, 

Information Technology Audits 

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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 

Assistant Secretary for Policy 

General Counsel 

Executive Secretariat 

Acting Chief Information Officer 

Deputy Chief Information Officer 

Acting Chief Financial Officer 

Acting Chief Procurement Officer 

Director, GAO/OIG Liaison Office 

Assistant Secretary for Public Affairs 

Assistant Secretary for Legislative Affairs 

U.S. Coast Guard Audit Liaison 

Office of Management and Budget 

Chief, Homeland Security Branch 

DHS OIG Budget Examiner 

Congress 

Congressional Oversight and Appropriations Committees, as 

appropriate 

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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) 254-4100, 

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; 

• Fax the complaint directly to us at (202) 254-4292; 

• 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, 

Washington, DC 20528. 

The OIG seeks to protect the identity of each writer and caller.