Sentinel Audit III: Status of the Federal Bureau of Investigation’s
Case Management System (Redacted - Public Version)
Audit Report 07-40
Office of the Inspector General
|U. S. Department of Justice
Federal Bureau of Investigation
Washington, D. C. 20535-0001
The Honorable Glenn A. Fine
Office of the Inspector General
U. S. Department of Justice
950 Pennsylvania Avenue, N.W.
Washington, D.C. 20530
|Re:||WORKING DRAFT AUDIT REPORT - SENTINEL AUDIT III: STATUS OF THE FEDERAL BUREAU OF INVESTIGATION'S CASE MANAGEMENT SYSTEM|
Dear Mr. Fine:
The Federal Bureau of Investigation (FBI) appreciates your efforts, and those of your staff, in assessing the progress of our SENTINEL Program. As always, the FBI welcomes your observations and final recommendations.
We have completed our review of your draft report entitled "SENTINEL Audit III: Status of The Federal Bureau of Investigation's Case Management System." Enclosed is the FBI's response to your preliminary findings and recommendations. The response has undergone a classification review and sensitivity review and is enclosed with this letter.
Please feel free to contact me on 202-324-6165, or Ms. Robin Davis of my staff should you have any questions. Ms. Davis may be reached on (202) 324-2866.
Chief Information Officer
Federal Bureau of Investigations (FBI) Response to the Department of Justice (DOJ) Office of the Inspector General (OIG) Draft Audit Report SENTINEL Audit III: Status of the Federal Bureau of Investigation's Case Management System
Responses to Recommendations:
The FBI concurs with the recommendations of the DOJ OIG's Audit Report and has already taken positive measures to incorporate the recommendations in Program Management Office (PMO) operations. The following comments are provided:
Finding 1: Phase 1, Schedule, Cost, and Performance:
Recommendation #1: Reconsider the four-phase approach to developing SENTINEL to limit the scope of future phases to allow them to be completed in 9 months or less.
FBI Response: Completed. During a meeting with the DOJ OIG, the FBI OCIO, the SENTINEL Program Manager (PM), SENTINEL Deputy PM, and SENTINEL System Development Unit Chief on April 23, 2007, the philosophy of waterfall and incremental methodologies was discussed based on Phase 1 lessons learned. At that time, the FBI informed the DOJ OIG that it planned to modify its methodology to provide users with capabilities at a more rapid pace rather than delivering all capabilities at the end of a phase.
In that regard, Lockheed Martin (LM), with PMO participation, has been developing the strategic plan which will implement an incremental development and delivery schedule. This plan is scheduled to be finalized and delivered to the FBI on August 31, 2007.
Recommendation #2: Negotiate decreases in the cost of future phases if requirements are deferred in that phase.
FBI Response: Agree. The SENTINEL PMO is currently awaiting an Engineering Change Proposal, due on August 31, 2007. At that time, the costs for Phases 2-4 will be presented, discussed and, if necessary, negotiated with LM.
Finding 2: Phase 2 Planning and Management Issues:
Recommendation #3: Collect and report EVM data for both the performance measurement baseline approved at the integrated baseline review as well as the revised performance measurement baseline.
FBI Response: Completed. On March 29, 2007, the FBI and LM agreed to report Earned Value Management (EVM) performance against both the original Integrated Baseline Review (IBR) and subsequent baseline revisions, if any. This agreement will be implemented as part of the new strategic plan for Phases 2-4.
Recommendation #4: Reconcile the discrepancy between the costs Lockheed Martin reported for Phase 1 with Lockheed Martin's EVM data, and develop and implement policies and procedures to prevent any future discrepancies.
FBI Response: Agree. On June 14, 2007, the PMO "stood down" EVM reporting and has not accepted any LM invoices pending LM's disclosure of the reasons for cost discrepancies and an acceptable action plan to prevent further occurrence. On August 7, 2007, LM disclosed the reasons causing the discrepancies and proposed an action plan. The PMO is currently evaluating those reasons and the action plan.
Recommendation #5: Develop and implement effectiveness measures for all risk mitigation
FBI Response: Agree. SENTINEL is considering methods on how the effectiveness of the mitigation strategy would be measured.
Recommendation #6: Ensure that personnel assigned to manage SENTINEL risks devote sufficient time to the risk and have the experience and authority to adequately manage the risk.
FBI Response: Agree. Each SENTINEL risk is assigned to a Risk Working Group in which experienced personnel with diverse qualifications have sufficient time and authority to adequately manage the risk. The dedicated Risk Coordinator maintains risks and action item status in the Risk Register.
Recommendation #7: Document and track project issues, risks that have occurred, as well as the plan to resolve those issues and their ultimate resolution.
FBI Response: Agree. The PMO agrees to track and report on issues (including realized risks) that have a material impact on the program. Material impact will be defined as any issue that has a "Medium" or higher impact (cost, schedule, technical, or business impact) as specified in the FBI Risk Management guidance documents and the SENTINEL Risk Management Plan.
Recommendation #8: Implement policies and procedures to ensure that any changes to the Bill of Materials receive proper authorization and that the changes can be reconciled to the Bill of Materials submitted in Lockheed Martin's proposal.
FBI Response: Agree. The PMO has developed an updated Bill of Materials Deviation Policy and Procedure to ensure any changes are fully vetted by appropriate LM and PMO review boards prior to approval. As proposed, changes to the Bill of Materials will pass through appropriate decision boards including the Configuration and Change Management Board (CCMB) of LM Financial, the PMO CCMB, the PMO's Business Management Unit (BMU) and internal Finance Division boards. That document is currently in the review and approval process.
Recommendation #9: Implement policies and procedures to ensure that materials contained in Lockheed Martin invoices can be reconciled to the bill of materials or an FBI approval for a change to the bill of materials.
FBI Response: Agree. As of June 2007, the PMO's BMU now requires LM Financial to map their invoices to the Bill of Materials. LM was required to implement this new procedure prior to the acceptance of any invoices by the PMO.
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