Immigration Benefits: Consistent Adherence to DHS's Acquisition Policy Could Help Improve Transformation Program Outcomes
GAO-12-66
Published: Nov 22, 2011. Publicly Released: Nov 22, 2011.
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Highlights
Each year, the Department of Homeland Security's (DHS) U.S. Citizenship and Immigration Services (USCIS) processes millions of applications for immigration benefits using a paper-based process. In 2005, USCIS embarked on a major, multiyear program to transform its process to a system that is to incorporate electronic application filing, adjudication, and case management. In 2007, GAO reported that USCIS was in the early stages of the Transformation Program and that USCIS's plans partially or fully met key practices. In 2008, USCIS contracted with a solutions architect to help develop the new system. As requested, GAO evaluated the extent to which USCIS has followed DHS acquisition policy in developing and managing the Transformation Program. GAO reviewed DHS acquisition management policies and guidance; analyzed transformation program planning and implementation documents such as operational requirements; compared schedule and cost information with GAO best practice guidance; and interviewed USCIS officials..
Recommendations
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| United States Citizenship and Immigration Services | To help ensure that USCIS takes a comprehensive and cost-effective approach to the development and deployment of transformation efforts to meet the agency's goals of improved adjudications and customer services processes, the Director of USCIS should ensure program schedules are consistent with the nine estimating best practices. | In November 2011 , we reported that U.S. Citizenship and Immigration Services (USCIS) had not consistently followed the acquisition management approach that the Department of Homeland Security (DHS) outlined in its management directives in developing and managing the Transformation Program. In particular, USCIS's individual schedules for the Transformation Program did not meet best practices for schedule estimating, raising questions about the credibility of the program's life-cycle cost estimates. Thus, we recommended that USCIS ensure program schedules are consistent with the nine estimating best practices. On May 4, 2015, DHS approved a new Transformation Program Acquisition Program... Baseline and supporting documentation. In October 2015, we interviewed USCIS officials related to the Integrated Master Schedule (IMS) for the Transformation Program and, in December 2015, USCIS provided us with an updated version of the IMS and supporting documentation. On the basis of our review of USCIS documentation, we determined that the Transformation Program schedule did not meet one best practice, minimally met one best practice, partially met two best practices, and substantially met five best practices. While the IMS submitted for assessment in November 2015 does not meet all best practices, we note that USCIS has made substantial improvements in the quality of the schedule since our report. In particular, key best practices such as sequencing logic, horizontal and vertical integration, establishing critical paths through projects, and updating the status of the schedule have improved since the report was issued. Thus, we are closing this recommendation, as implemented. Having reliable and integrated schedules for the Transformation Program should help provide a road map for systematic project execution and a means to gauge progress, identify and resolve potential problems, and promote accountability at all levels of the program.
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| United States Citizenship and Immigration Services | To help ensure that USCIS takes a comprehensive and cost-effective approach to the development and deployment of transformation efforts to meet the agency's goals of improved adjudications and customer services processes, the Director of USCIS should develop and maintain an Integrated Master Schedule consistent with these same best practices for the Transformation Program. | In November 2011, we reported that U.S. Citizenship and Immigration Services (USCIS) did not have an integrated master schedule (IMS) for the entire Transformation program. We reported that, according to program officials, when the Transformation Program's planning efforts began, USCIS was unable to develop an integrated master schedule for the Transformation Program due to the complexity of integrating the numerous individual schedules and the lack of skilled staff necessary to develop and manage such an integrated master schedule. In addition, we reported that program officials explained that scheduling software to develop and maintain individual schedules was not used by every...
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| United States Citizenship and Immigration Services | To help ensure that USCIS takes a comprehensive and cost-effective approach to the development and deployment of transformation efforts to meet the agency's goals of improved adjudications and customer services processes, the Director of USCIS should ensure that the life-cycle cost estimate is informed by milestones and associated tasks from reliable schedules that are developed in accordance with the nine best practices we identified. | In November 2011, GAO reported that U.S. Citizenship and Immigration Services (USCIS) lacked reliable schedules for its Transformation Program. Therefore, GAO found that USCIS's ability to develop reliable life-cycle cost estimates for the Transformation Program was hampered. As outlined by Department of Homeland Security (DHS) acquisition management guidance, a life-cycle cost estimate (LCCE) is a required and critical element in the acquisition process. GAO reported that USCIS had developed and updated the LCCE for the Transformation Program, but USCIS's individual schedules for the Transformation Program did not meet best practices for schedule estimating, thus raising questions about...
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Best practicesCost overrunsElectronic data processingElectronic formsFederal procurement policyImmigrationInternal controlsLife cycle costsProcurement policyProgram managementRequirements definitionSchedule slippagesStrategic planningCase managementCost estimatesSystems development