Incident: Immigration System Digitization Failure: Mismanagement, Defects, and Delays

Published Date: 2015-11-08

Postmortem Analysis
Timeline 1. The software failure incident happened over a span of several years, starting from the initiation of the project around 2004 and continuing until at least 2015 as per the article [53381].
System 1. USCIS Transformation Program 2. ELIS (Electronic Immigration System) 3. Waterfall development method 4. IBM's initial approach to the project, known as "Waterfall"
Responsible Organization 1. U.S. Citizenship and Immigration Services (USCIS) [53381] 2. Department of Homeland Security (DHS) [53381] 3. IBM [53381]
Impacted Organization 1. U.S. Citizenship and Immigration Services [53381] 2. Department of Homeland Security [53381]
Software Causes 1. The software project was mismanaged from the start, with basic plans for the computer system not being completed until nearly three years after the initial contract was awarded [53381]. 2. The project was riddled with hundreds of critical software and other defects by 2012, leading to frequent computer crashes and bad software code [53381]. 3. The initial approach to developing the system using the "Waterfall" method was considered outdated by 2008, resulting in long wait times for a final product and contributing to the failure [53381].
Non-software Causes 1. Poor management by DHS and the immigration agency, including shoddy planning and incomplete or unreliable basic planning documents [53381]. 2. Pressure from Obama administration officials to push forward with the project despite fundamental flaws and outdated technology [53381]. 3. Lack of oversight and accountability within DHS during the early stages of the project [53381].
Impacts 1. Delays in processing immigration applications, with some applicants waiting up to a year or never receiving their new cards, disrupting their plans to work, attend school, and travel [53381]. 2. Immigrants and their lawyers remain frustrated by the government's archaic, error-plagued system, leading to lost applications, months-long delays, and missed deadlines for benefits [53381]. 3. Concerns about national security as the current paper-based system may not effectively identify individuals who pose a threat, such as terrorists seeking green cards [53381].
Preventions 1. Proper planning and understanding of requirements before awarding contracts could have prevented the software failure incident [53381]. 2. Avoiding outdated development methodologies like the "Waterfall" approach could have helped in preventing the failure [53381]. 3. Timely recognition of critical software defects and issues and halting the project before rolling it out could have prevented the failure [53381].
Fixes 1. Adopting a new approach relying on cloud computing [53381] 2. Overhauling the development process from contracting to technology [53381] 3. Implementing the latest industry best practices and approaches [53381]
References 1. Former and current federal officials 2. Documents 3. USCIS Director Alejandro Mayorkas 4. DHS officials 5. DHS inspector general’s office 6. Immigration lawyers 7. IBM spokesperson

Software Taxonomy of Faults

Category Option Rationale
Recurring one_organization (a) The software failure incident having happened again at one_organization: The software failure incident described in the article occurred within the U.S. Citizenship and Immigration Services (USCIS) organization. The project to digitize immigration records and forms, initially awarded to IBM, faced mismanagement, outdated technology adoption, and critical software defects [53381]. (b) The software failure incident having happened again at multiple_organization: There is no specific mention in the provided article about the software failure incident happening at multiple organizations.
Phase (Design/Operation) design, operation (a) The software failure incident in the article was primarily due to design issues introduced during the development phases. The project, run by U.S. Citizenship and Immigration Services, faced mismanagement from the start, with basic plans for the computer system not being completed until nearly three years after the initial contract had been awarded to IBM [53381]. The approach to adopting the technology was considered outdated before work even began, and by 2012, officials were aware that the project was riddled with hundreds of critical software and other defects [53381]. The initial development method, known as "Waterfall," was criticized for being outdated and resulted in fundamental flaws in the system, including frequent computer crashes and bad software code [53381]. (b) Additionally, the software failure incident also experienced issues related to operation. The online immigration system, named ELIS, was found to be slow, confusing, and inefficient for both immigrants and government employees [53381]. Reports highlighted that it sometimes took up to 150 clicks for employees to navigate the system's features and open documents, and the system lacked basic functions like a usable search engine [53381]. Immigrants and their lawyers faced frustrations with the archaic, error-plagued system, leading to delays and errors that caused further delays in processing applications [53381].
Boundary (Internal/External) within_system (a) The software failure incident described in the articles is primarily within_system. The failure was attributed to poor management, outdated technology approach, mismanagement of the project, critical software defects, and flawed development methodology [53381]. The project faced issues such as incomplete basic plans for the computer system, outdated technology approach, critical software defects, slow and inefficient system, and lack of oversight in the initial stages of the project. These factors contributed to the failure of the software system within the USCIS [53381].
Nature (Human/Non-human) non-human_actions, human_actions (a) The software failure incident occurring due to non-human actions: The software failure incident in the USCIS project was primarily due to mismanagement, outdated technology, critical software defects, and an inefficient system. The project faced issues such as hundreds of critical software defects, outdated technology before work began, slow and inefficient online forms, and a lack of basic functions like a usable search engine [53381]. (b) The software failure incident occurring due to human actions: The failure was also exacerbated by human actions, including poor management by DHS and the immigration agency, shoddy planning, incomplete or unreliable planning documents, and pressure from Obama administration officials to roll out the project despite known flaws. Additionally, the clash between IBM and the agency, the controversial "Waterfall" development approach, and the decision to continue the project despite clear indications that it wouldn't work were all human-related factors contributing to the failure [53381].
Dimension (Hardware/Software) software (a) The software failure incident occurring due to hardware: The software failure incident mentioned in the articles was not primarily attributed to hardware issues. The focus was more on mismanagement, outdated technology approaches, critical software defects, and inefficiencies in the development process rather than hardware-related problems [53381]. (b) The software failure incident occurring due to software: The software failure incident detailed in the articles was primarily attributed to software-related issues. The project was plagued by critical software defects, outdated technology approaches, slow and inefficient system performance, bad software code, and the failure of the initial software development method known as "Waterfall." The software defects and flaws were significant contributors to the overall failure of the digitization project [53381].
Objective (Malicious/Non-malicious) non-malicious (a) The software failure incident described in the articles is primarily non-malicious. The failure was attributed to poor management, mismanagement, outdated technology approach, critical software defects, and inefficient development processes [53381]. However, there is no indication in the articles that the failure was due to malicious intent or actions by individuals to harm the system. The issues stemmed from a combination of factors such as inadequate planning, outdated technology methods, and pressure to deliver on ambitious projects rather than deliberate sabotage or malicious actions.
Intent (Poor/Accidental Decisions) poor_decisions, accidental_decisions The software failure incident related to the intent can be categorized as both poor_decisions and accidental_decisions. 1. Poor Decisions: The software failure incident involved poor decisions in the management of the project. The initiative was mismanaged from the start, with basic plans for the computer system not being completed until three years after the initial contract was awarded [53381]. Additionally, the approach to adopting the technology was outdated before work even began, and the project was riddled with hundreds of critical software and other defects by 2012 [53381]. The Government Accountability Office criticized the immigration service for shoddy planning, stating that the agency awarded the IBM contract prior to having a full understanding of requirements and resources needed to execute the program [53381]. 2. Accidental Decisions: Accidental decisions also played a role in the software failure incident. The initial technology and development method chosen for the project, known as the "Waterfall" approach, was considered outdated by 2008, and it involved developing the system in long, cascading phases, leading to significant delays in delivering a final product [53381]. The decision to launch the electronic immigration system in 2012, despite reports of technical errors and issues, can also be seen as an accidental decision that contributed to the failure [53381]. In summary, the software failure incident involved a combination of poor decisions in project management and accidental decisions in technology and development approaches.
Capability (Incompetence/Accidental) development_incompetence, accidental (a) The software failure incident in the article was primarily due to development incompetence. The project to digitize immigration records and forms was mismanaged from the start, with basic plans for the computer system not being completed until years after the contract was awarded [53381]. The project was riddled with hundreds of critical software and other defects, yet officials began to roll it out under pressure from the Obama administration without addressing these issues [53381]. The initial approach to developing the system, known as "Waterfall," was considered outdated by 2008, and the method of carrying out IT projects was not successful [53381]. The Government Accountability Office criticized the immigration service for poor planning and incomplete requirements, leading to unreliable cost estimates and schedules [53381]. (b) The software failure incident also had accidental contributing factors. The system suffered from technical errors, leading to the decision to abandon the initial technology and development method and move towards a cloud-based system [53381]. The online immigration system, named ELIS, was found to be slow, confusing, and inefficient for both immigrants and government employees, even after transitioning to the new cloud-based approach [53381]. The system lacked basic functions like a usable search engine, and internal evaluations warned of critical engineering uncertainties and difficulties [53381].
Duration temporary The software failure incident described in the articles can be categorized as a temporary failure. The project to digitize immigration records and forms faced significant challenges and setbacks, including mismanagement, outdated technology approaches, critical software defects, and inefficiencies. However, efforts were made to address these issues by scrapping the old technology, adopting a new cloud-based approach, and making changes to the development process [53381]. Despite the setbacks and delays, the government officials expressed confidence in moving in the right direction and improving the system [53381].
Behaviour crash, omission, value, other (a) crash: The software failure incident in the articles can be categorized as a crash. The system was plagued with hundreds of critical software defects, frequent computer crashes, and bad software code, making it clear to officials that "it wasn't going to work" [53381]. (b) omission: The software failure incident can also be categorized as an omission. The system failed to deliver on its intended functions, with only one form available for online applications out of the nearly 100 forms planned. Additionally, immigrants who applied online for renewing or replacing their green cards often faced delays or never received their new cards, disrupting their plans [53381]. (c) timing: The software failure incident does not specifically align with a timing-related failure. The issues were more related to the system's functionality, defects, and inefficiencies rather than timing-related failures [53381]. (d) value: The software failure incident can be categorized as a value-related failure. The system performed its intended functions incorrectly, leading to delays, lost applications, errors causing further delays, and immigrants missing deadlines for benefits [53381]. (e) byzantine: The software failure incident can be categorized as a byzantine failure. The online immigration system, named ELIS, was found to be slow, confusing, and inefficient for both immigrants and government employees. It lacked basic functions like a usable search engine, and internal evaluations warned of critical engineering uncertainties and difficulties [53381]. (f) other: The software failure incident can also be categorized as a mismanaged project. The initiative was mismanaged from the start, with incomplete basic plans for the computer system, outdated technology adoption approach, and pressure from administration officials to roll out the flawed system despite being aware of critical defects. The clash between the agency and the contractor, IBM, also contributed to the failure of the project [53381].

IoT System Layer

Layer Option Rationale
Perception None None
Communication None None
Application None None

Other Details

Category Option Rationale
Consequence property, delay (d) property: People's material goods, money, or data was impacted due to the software failure The software failure incident described in the articles led to significant consequences related to property. The immigration system's software failure caused delays and errors in processing immigration applications, leading to lost applications, months-long delays, and errors that resulted in further delays for immigrants. This had severe implications for individuals, causing them to miss deadlines for benefits, resulting in the loss of jobs, mortgages, and travel opportunities. Immigration lawyers handled numerous cases of lost applications, particularly for green cards, creating an "absolute nightmare" situation where the whereabouts of these applications were unknown, impacting individuals' property rights and legal status [53381].
Domain government The failed system mentioned in the articles was related to the government industry. The software failure incident was specifically related to the U.S. Citizenship and Immigration Services (USCIS) within the Department of Homeland Security (DHS) [53381]. The system was intended to digitize immigration records, online applications, and electronic forms to streamline the immigration process. However, the project faced mismanagement, delays, critical software defects, and inefficiencies, leading to significant setbacks in automating the immigration service [53381].

Sources

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