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«Report No. 23-04-010-13-001 Date Issued: March 31, 2004 U.S. Department of Labor Office of Inspector General Washington, DC. 20210 March 31, 2004 ...»

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The e-Payroll Quicksilver Project:

Status and Concerns

Period Ending March 22, 2004

Report No. 23-04-010-13-001

Date Issued: March 31, 2004

U.S. Department of Labor Office of Inspector General

Washington, DC. 20210

March 31, 2004

MEMORANDUM FOR: SAMUEL T. MOK

Chief Financial Officer

FROM: ELLIOT P. LEWIS

Assistant Inspector General for Audit SUBJECT: The e-Payroll Quicksilver Project: Status and Concerns Period Ending March 22, 2004 Audit Report No. 23-04-010-13-001 The attached report is submitted for your action. This report incorporates the Deputy Chief Financial Officer’s response to the draft report briefing and the auditor’s conclusion to the response. In addition, the Deputy CFO’s response is attached to this report in its entirety. We request a response to this report by April 23, because of the significance of the issues presented.

In her response to the draft report, the Deputy CFO stated that the audit staff had not asked for information/documentation which has now been made available as part of the agency’s response to the draft report. The OIG and its contract auditor requested information on a number of occasions, the most recent of which was the potential notification of findings meeting that was discussed on March 12, 2004, and provided in advance of the meeting on March 9, 2004.

From the information provided to the OIG in the OCFO’s response and discussions held at the briefing of the draft report on March 30, 2004, certain small changes were made to the attached briefing involving clarifications and changes of an editorial nature. In addition, this information was used to develop the following OIG conclusions and

resolution determinations for the briefing’s recommendations:

RECOMMENDATION 1 – Obtain a written confirmation from NFC that the conversion can be completed by September 30, 2004 for DOL. Insist on reviewing NFC project plans and maintain periodic discussions with NFC management to confirm continuous ly that NFC is on schedule to meet DOL’s deadline.

Working for America’s Workforce OCFO Response: The OCFO received February 11, 2004, written confirmation from NFC the conversion can be completed by September 30, 2004.

OIG Conclusion: Based on the information provided to OIG, this recommendation is closed.

RECOMMENDATION 2 – Develop a detailed conversion plan that indicates the process and milestones that ensures all payroll and retirement data validation will be completed and how the conversion of the data to NFC will be accomplished.

OCFO Response: The OCFO provided OIG an updated conversion plan and information related to the OPM Retirement Systems Modernization project.

OIG Conclusion: The conversion plan provided to the OIG is still a draft;

therefore, this recommendation is unresolved. To resolve this recommendation, the OCFO must finalize the e-Payroll conversion plan and provide the OIG the plan of action and target date the OCFO will accomplish this step.

RECOMMENDATION 3 - Brief the TRB on the status of the e-Payroll project on a regularly scheduled basis to gain added insight and advice from knowledgeable and experienced Department-wide IT managers.

OCFO Response: The OCFO did not respond to this recommendation.

OIG Conclusion: As a result of the OCFO not responding to this recommendation, this recommendation is unresolved. To resolve this recommendation, the OCFO needs to provide OIG with a description of how OCFO will involve the TRB and the timing of such involvement.

RECOMMENDATION 4 - In accordance with the DOL Guide to IT Capital Investment Management (May 2000), commit to having the OCIO and TRB involved in the e-Payroll project and take advantage of the OCIO’s authority to leverage DOL’s IT resources to ensure project success.

OCFO Response: The OCFO states the CIO has been and continues to be involved in the project. The OCFO states that the Deputy CIO is the CIO’s representative to the e-Payroll project status meetings with OMB and OPM and forwards the e-Payroll project business case to OMB. The OCFO states it will work with the CIO to assure each complies with statutes that govern their respective oversight roles. In addition, the OCFO is following DOL’s System Development and Life Cycle Methodology.

OIG Conclusion: OIG acknowledges the OCFO is planning to involve the OCIO.

This recommendation is unresolved. To resolve this recommendation, the OCFO needs to provide OIG with details on how the OCFO will involve the CIO and the timing of such involvement.

RECOMMENDATION 5 – Commit to developing an updated project migration budget indicating expected costs of migration.

OCFO Response: The OCFO developed in February 2004 a project budget as part of the analysis of the migration options.

OIG Conclusion: Based on the information provided to OIG, this recommendation is unresolved. To resolve and close this recommendation, the OCFO needs to provide OIG a detailed project budget showing major cost activities, such as: contractors, experts, staff, non-CFO agencies, travel, etc.

RECOMMENDATION 6 – If these actions cannot be taken within a reasonable amount of time, the DOL should reevaluate its ability to achieve the September 30, 2004 deadline.





OCFO Response: The OCFO achieved the actions recommended by OIG and took many other important actions. In January 2004, data mapping began in the Department’s payroll system to the NFC system and was substantially completed in early February 2004.

OIG Conclusion: This recommendation is unresolved. The OCFO believes it has achieved many of the actions recommended by OIG. While data mapping is a critical step towards migrating to NFC by the September 30, 2004 target date, there remain significant key milestones that must be met in the very near future.

Without a finalized DOL conversion plan and the OCFO’s commitment as to how and when the TRB and OCIO will become involved in the effort, the project has added risk and could result in lost opportunities. To resolve this recommendation, the OIG will assess OCFO’s compliance with DOL’s SDLC policies and guidelines and follow up on the corrective actions of the OCFO in response to recommendations 1 through 5 above.

If you have any question concerning this audit report, please contact Keith Galayda, Director, Office of Information Technology Audits, at 202-693-5259.

Attachment

–  –  –

United States Department of Labor Office of Inspector General

The e-Payroll Quicksilver Project:

Status and Concerns Period Ending March 22, 2004

–  –  –

The e-Payroll Quicksilver Project: Status and Concerns This audit was performed by Urbach Kahn & Werlin Advisors, Inc., under contract to the Office of Inspector General, and, by acceptance, it becomes a report of the Office of Inspector General.

–  –  –

Executive Summary

The following concerns were identified:

Lack of Preparedness of NFC including:

– Lack of equivalent technological capability at NFC – Financial and time strain to build required NFC interfaces – Lack of availability of NFC to exchange critical information – Hard-set NFC deadline requirements – NFC admission of possible deadline failure due to priority conflicts

Lack of Preparedness of DOL including:

– Delays in making conversion alternative decision – A data validation process is needed prior to conversion – Lack of detailed conversion plan

–  –  –

Executive Summary continued…

The following concerns were identified:

Project Management concerns including:

– Budget estimates for migration appear unreasonable – Lack of user involvement in project development – Limited involvement of the Office of the Chief Information Officer (OCIO) and the Technical Review Board (TRB)

–  –  –

Executive Summary continued… To ensure effective management of the project, including meeting the current deadline of September 30, 2004, we

recommend the following must happen immediately:

Recommendation 1 - Obtain written confirmation from NFC that the conversion can be completed by September 30, 2004, for DOL.

Insist on reviewing NFC project plans and maintain periodic discussions with NFC management to confirm continuously that NFC is on schedule to meet DOL’s deadline.

Recommendation 2 - Develop a detailed conversion plan that indicates the process and milestones that ensures all payroll and data validation will be completed and how the conversion of the data to NFC will be accomplished.

Recommendation 3 - Brief the TRB on the status of the e-Payroll project on a regularly scheduled basis to gain added insight and advice from knowledgeable and experienced Department-wide IT managers.

–  –  –

Executive Summary continued… To ensure effective management of the project, including meeting the current deadline of September 30, 2004, we recommend the

following must happen immediately:

Recommendation 4 - In accordance with the DOL Guide to IT Capital Investment Management (May 2000), commit to having the OCIO and TRB involved in the e-Payroll project and take advantage of the OCIO’s authority to leverage DOL’s IT resources to ensure project success.

Recommendation 5 - Commit to developing an updated project migration budget indicating expected costs of migration.

Recommendation 6 - If these actions cannot be taken within a reasonable amount of time, the DOL should reevaluate its ability to achieve the September 30, 2004 deadline.

–  –  –

Executive Summary continued…

• Attached to this report is the Deputy CFO’s response in its entirety. As part of the CFO’s response, it was stated that the auditors had not requested certain documentation which has now been made available as part of the agency’s response. On the contrary, the OIG and its auditor requested the basic planning information through its data requests, through our notification of potential finding, and through a pre-briefing with the OCFO’s project team and official.

–  –  –

Audit Objective To determine whether the conversion and migration effort of the Department’s Payroll functions are being effectively managed to ensure the project will meet the target date of September 30, 2004; as directed by the President’s Management Agenda quicksilver project, “e-Payroll: Payroll Processing Consolidation”

U.S. Department of Labor

Audit Scope For this interim report, we audited the project management activities of the Office of the Chief Financial Officer (OCFO) located in Washington, DC, and related supporting documentation that is being used to achieve a

September 30, 2004, implementation date for the e-Payroll conversion and migration project including:

1. the completeness of documentation required by DOL’s SDLCM or a SDLC methodology approved by the OCIO;

2. project management compliance with activities specified within the DOL SDLCM or another OCIO approved SDLC methodology;

3. project management involvement of DOL Business Sector decision making authorities and;

4. responsibilities and progress of any third party agencies involved with the conversion/migration.

This report is not based on an assessment of all management controls that could be considered as the audit progresses.

Compliance/noncompliance of any of the above will be reported using interim reports as well as an overall report at the conclusion of the audit. This interim report is based on our work from February 6, 2004 to March 22, 2004.

The audit period for this engagement is January 1, 2004 – September 30, 2004

–  –  –

Audit Methodology

We have:

• Assessed the activities and documentation developed for each SDLC phase

• Assessed project management activities during the course of preliminary system development



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