United States General Accounting Office

GAO Office of Information Management and

Communications

April 1995 Mission Support

Project: Report

on the Network

and Data

Collection and

Analysis

Application Pilot

Test

GAO/OIMC-95-7

Foreword

This report responds to the reporting objectives stated in the Mission

Support Project’s Test and Evaluation Plan and Evaluation Strategy.

Specifically, it describes the development of the Data Collection and

Analysis application, provides the results of the pilot test of the network

and the application, and outlines the strategy for implementing the

network and the application GAO-wide.

This work was performed under the direction of Anthony Cicco, Project

Manager, who can be reached on (202) 512-5851.

F. Kevin Boland

Assistant Comptroller General for

Information Management and Communications

Page 1 GAO/OIMC-95-7 Network and DCA Pilot Test
Executive Summary

Purpose Because information technology presents new opportunities for a more

efficient work environment, GAO has explored ways to provide its staff

with a sophisticated mixture of information tools and systems to collect,

analyze, and disseminate information to meet the needs of the Congress

and the public. To create this required technical environment, GAO

established the Mission Support Project (MSP) in 1990 to develop and

pilot-test a computer network and a mission-critical application—the Data

Collection and Analysis (DCA) application—to improve work processes.

This report summarizes GAO’s experience in developing and using this

technology. Specifically, the report describes the results of the pilot test of

a network environment and the DCA application and GAO’s plans for

implementing a computer network and the DCA application throughout

GAO.

Background The MSP established four objectives: to install and test network technology,

develop and evaluate the DCA application, measure the associated benefits,

and determine the best configuration for meeting GAO-wide technology

needs. Of primary importance was to enhance communication and

collaboration among GAO work groups by improving access to and

management of information. The project focused on the effective

deployment of and creative use of technology to support the agency’s goal

of improving the timeliness and the quality of GAO work. The MSP team, a

group of evaluators and in-house and contract computer specialists, used

information-engineering methodology—a fact-based quality management

approach—to design, develop, and implement the DCA application.

To develop the DCA, the team first identified user—evaluator—needs by

surveying an extensive and representative sample of evaluators to define,

in detail, the work processes for conducting audits and evaluations. The

team identified four major user needs: (1) standard workpaper formats,

(2) better ways to index information for later retrieval, (3) improved

access to assignment information for data analysis, and (4) enhanced

capability for managing audits. Evaluators also wanted the DCA to be user

friendly; allow for tasks to be performed simultaneously; and operate in an

environment in which the user could access, analyze, and electronically

communicate information in a timely and effective manner to generate a

quality product. These user requirements guided DCA development and

provided a comprehensive, easy-to-use suite of Windows-based software

designed to streamline and simplify numerous assignment tasks and

integrated to permit sharing information across applications.

Page 2 GAO/OIMC-95-7 Network and DCA Pilot Test
Executive Summary

In 1991, GAO developed a plan for the pilot test of the network and

computer technology. The pilot was conducted in three GAO units—the

Resources, Community, and Economic Development Division; the Health,

Education, and Human Services Division; and the San Francisco Regional

Office. Beginning in October 1993, the DCA was used by staff from these

units to test its capabilities and evaluate its performance. The MSP team

implemented an evaluation strategy as part of the pilot test to identify and

measure benefits of using network, computer, and DCA technology. This

strategy included measuring cycle time for completing typical assignment

tasks and obtaining, through surveys and group discussions, user

perceptions on how computer, software, and network technology affected

their work and productivity.1

GAO developed a comprehensive 3-year strategy and budget to transition

from a predominantly stand-alone environment to a total network

environment. The implementation strategy provided a fully developed

network with the DCA in the pilot test units by the end of fiscal year 1994.

By the end of fiscal year 1995, GAO will complete the network installation

in all units and will provide the DCA to two headquarters units and four

field offices. GAO plans to provide, by the end of fiscal year 1996, the

remaining divisions and field locations with DCA capability. The overall

implementation approach has been to install the network and 

WindowsTM 2

 software, provide training and time for staff to transition to

this new environment, install the DCA, and then provide DCA training.

Results in Brief GAO’s pilot demonstrated significant benefits from both the network and

the DCA. The local and wide area computer network was of great help in

communicating with others. Also, a graphical user

interface—Windows—provided staff faster switching capability between

software applications and for transferring data from one document to

another. Furthermore, the DCA, operating on the network, streamlined

work processes and enabled better use of staff time. For example, the

network provided staff a better means to communicate and send files and

faxes. The DCA enabled staff to create, organize, access, and share

information more easily and much faster compared with conventional

methods.

1

We have periodically prepared reports throughout the project to provide the results of surveys and

status updates.

2

Windows is a trademark of Microsoft Corporation.

Page 3 GAO/OIMC-95-7 Network and DCA Pilot Test
Executive Summary

In addition, evaluators said that the ease and the speed of access from

separate locations enabled them to share information on demand,

improved workgroup collaboration, and provided enhanced access to a

wider range of information from past reports and other assignments that

they could research and reuse. The DCA enabled the Team Ag staff—the

core group of evaluators conducting Agriculture issue area

assignments—to more actively collaborate with their counterparts despite

their separate Washington and San Francisco locations. The DCA was

installed for the remaining Team Ag locations—Kansas City, Dallas, and

Atlanta—during January and February 1995, making this the first core

group to have access to and use of the DCA for assignments. This ease of

interaction and information access will continue to expand and support

GAO’s core group concept as the DCA is implemented throughout GAO.

Several best practices were developed from the pilot experience, which

GAO used in preparing a detailed plan for GAO-wide implementation of the

computer network and the DCA. These practices involved (1) executive

commitment and leadership, (2) organizational change management,

(3) training strategy, and (4) user support.

Pilot Test Results

Network Improved

Communication

The network was almost universally well-received by the pilot units.

Nearly all their staff—99 percent—who responded to surveys had used the

network system to perform assignment tasks, and over 94 percent were

satisfied with it.3

 Over 80 percent said that it was of great or very great

help for communicating with others, and over 70 percent said that it was

valuable for keeping them informed of work-related matters. In addition,

over 80 percent said that the network and electronic mail were much

faster and easier for sending and receiving automated files compared with

the previous method of using dial-up communications software in a

stand-alone setting.

Windows Provided

Improved Work Setting

Experienced users also saw benefits to Windows software. Staff who

indicated that they used Windows all or almost all the time were satisfied

with this software and were more likely to say that it was easier and faster

3

Pilot unit staff completed questionnaires in November 1993, May 1994, and December 1994 on how

the network system, Windows software, and the DCA application affected the way they performed

their work.

Page 4 GAO/OIMC-95-7 Network and DCA Pilot Test
Executive Summary

than non-Windows software. About 90 percent of these respondents said

that Windows made it easier to switch from one software application to

another. However, of those who used Windows software half the time or

less, only 40 percent said that it was easier for this task. This result is quite

common because learning how to use new software and transition to a

new operating environment takes time. But once staff have worked

frequently with Windows, most agree that it is easier and faster.

DCA Streamlined Tasks

and Improved Information

Access

The cycle time results show that the DCA streamlined typical assignment

tasks and processes, such as locating and sharing information and

monitoring assignment progress, and that the immediate access to

assignment information the DCA provided improved communication and

work group collaboration. Staff currently expend significant amounts of

time preparing and managing workpapers and sharing information among

dispersed team members. The DCA and the network provide tools to

accomplish such tasks far more quickly and efficiently, freeing up time

that can be more productively used for research and analysis. For

example, the DCA’s on-line access to workpapers saved time currently

spent traveling to separate locations, as well as the time used to fax, mail,

or electronically transfer files without the network and the DCA. While the

time saved on an individual tasks may be a few minutes, these savings are

significant given the frequency of such tasks throughout GAO. In addition,

staff reported that the DCA’s document management capabilities enabled

them to quickly track the history and the status of workpapers and

products and facilitated supervisory review. Furthermore, the DCA allowed

staff to quickly and easily locate, share, and reuse information, such as

segments from prior GAO reports, abstracts, and open recommendations.

The pilot unit staff also said it would have been helpful to have had all

units using the DCA so that the entire job team could access and share

information, and noted that additional benefits will accrue once all of GAO

is using the DCA. As the network and DCA are implemented throughout GAO,

all job teams and core groups will have access to and use of the DCA and

the improved work setting.

Comprehensive Strategy

Developed to Implement

Network and DCA

Technology

The pilot test results helped GAO understand how to manage a successful

GAO-wide implementation of the network and the DCA. The approach

developed by GAO had essential elements: (1) install the network and

Windows software, (2) provide training and time to prepare for the new

technology, and (3) secure executive commitment and active involvement.

Page 5 GAO/OIMC-95-7 Network and DCA Pilot Test
Executive Summary

Using the experience gained under the pilot DCA application, GAO

developed a comprehensive plan for the GAO-wide implementation of the

DCA and the network. This plan addresses all aspects of the

implementation—communications, facilities preparation, installation of

cables, workstation testing, and network and DCA installation. It also

identifies the tasks, the resources, and the necessary sequence of actions.

The plan contains all tasks and resources to implement the DCA and the

network and provides a vehicle for providing effective oversight to ensure

a coordinated team approach to implementation.

The pilot test showed that installing the network and Windows software

and providing training and time to prepare for the DCA was an effective

approach to transition to this new technology. In addition, it was also

essential to secure executive commitment and active involvement. Pilot

unit staff whose managers actively supported and used the application

were more likely to devote the time and the effort needed to make the

transition. To ensure this support, GAO’s Training Institute developed a

comprehensive curriculum that begins with a leadership briefing for

Senior Executive Service leaders and staff managers. This curriculum

provides a framework for understanding the dynamics of organizational

change, the skills and the techniques for managing change involving new

technology, and an action plan to lead their units through DCA

implementation.

Page 6 GAO/OIMC-95-7 Network and DCA Pilot Test
Page 7 GAO/OIMC-95-7 Network and DCA Pilot Test
Contents

Foreword 1

Executive Summary 2

Chapter 1 

Introduction

10

GAO’s Assignment Process 10

Project Background 11

Objectives, Scope, and Methodology 12

Chapter 2 

Network and DCA

Streamlined Work

Processes and

Improved Access to

Information

19

Network Improved Communication and Information Access 19

Windows Software Improved Work Setting 20

DCA Provided Qualitative and Quantitative Benefits 21

Conclusions 24

Chapter 3 

Pilot Test Laid

Groundwork for

GAO-Wide

Implementation of

New Technology

26

Comprehensive Plans Developed for Network and DCA

Implementation

26

Customer and Network Support Enhanced and Expanded 30

Comprehensive Training Strategy Developed 31

Conclusions 32

Table Table 2.1: Time Savings for Typical Tasks in GAO Assignments 22

Abbreviations

DCA data collection and analysis

GAO General Accounting Office

IE information engineering

IRM information resources management

LAN local area network

MSP Mission Support Project

OIMC Office of Information Management and Communications

OIP Operations Improvement Program

RCED Resources, Community, and Economic Development

Division

TQM total quality management

Page 8 GAO/OIMC-95-7 Network and DCA Pilot Test
Page 9 GAO/OIMC-95-7 Network and DCA Pilot Test
Chapter 1 

Introduction

GAO’s mission is to “serve the public interest by providing members of

Congress and others who make policy with accurate information,

unbiased analysis, and objective recommendations on how best to utilize

public resources in support of the security and well-being of the American

people.”1

 To carry out this mission, GAO depends on information resources

and requires a sophisticated mixture of information tools and systems to

collect, analyze, and disseminate complex information on a wide range of

subjects, doing so within time frames that meet the needs of the Congress

and the public.2

 Furthermore, since GAO staff are dispersed across the

country, GAO requires information technologies that link them efficiently,

allowing them to work as teams despite their physical locations.

To develop these technological resources, GAO follows its information

resources management (IRM) vision, which describes a future in which

GAO’s teams are empowered by their information tools. This vision is to

create an organization in which work groups can be more self-sufficient in

meeting the information requirements of their jobs. Such an organization

would be characterized by (1) information technology that was so readily

available and easy to use that work groups could better create, access,

process, and share the information required to complete their tasks;

(2) staff who had been prepared to use technology effectively; and

(3) improved work processes, which would yield higher quality products

and which would be more efficient as a result of this technology.

GAO’s Assignment

Process

GAO assignments are conducted in three phases:

• job planning and design,

• data collection and analysis, and

• product preparation.

Throughout assignments, staff collect information needed to meet the

assignment objectives and to develop a product, such as a report,

testimony, or a briefing. They organize the information—assignment plans,

background and research materials, interview write-ups, agency

documents, spreadsheets, reports, memorandums, and other data—into

“workpapers.” In addition, communication and access to information is

critical throughout the job, as staff need to share the workpapers,

collaborate on summaries and analyses, and monitor assignment progress.

1

Quality Improvement Plan for GAO: Early Implementation (GAO/QMG-92-1, November 1991), p. 4.

2

IRM Strategic Plan (GAO/OIMC-94-12, September 1994), p. 3.

Page 10 GAO/OIMC-95-7 Network and DCA Pilot Test
Chapter 1 

Introduction

At the start of every audit, staff complete paperwork and develop an

assignment plan to outline key assignment information, such as

background, objectives, scope, methodology, issues and questions to

address, staff resources and responsibilities, and milestones. They also

research past assignments or issued reports to collect information relevant

to the current assignments. Staff complete paperwork at decision points

throughout the assignment and submit other job correspondence to

apprise management of assignment progress.

During the data collection and analysis phase, staff frequently interview

agency officials, collect agency documents, and make site visits or

inspections. They record this information and include it in their

workpapers for subsequent analysis and product development. Once they

develop a product, they must have it referenced, a process whereby the

staff identify the workpapers used as evidence for the product statements

and a staff member (independent of the job team) verifies that the

information in the report is supported by the workpapers. Drafts are

reviewed at progressively higher levels within GAO, and the team members

often need to locate additional workpaper information to revise the drafts

in response to review comments. Once GAO management has approved

products, staff complete forms to publish and distribute the products.

Project Background The Mission Support Project (MSP) was created in 1990 and was given the

responsibility for identifying user requirements, developing and evaluating

mission applications on a pilot network, measuring the associated

benefits, and determining the best configuration for meeting GAO-wide

network needs. In April 1991, GAO developed a test and evaluation plan to

document the selection of the network configuration, the organizational

structure for managing and conducting a pilot test, and the methodology

for evaluating test results.3

 A pilot group from the Health, Education, and

Human Services Division;4

 the Resources, Community, and Economic

Development Division (RCED); and the San Francisco Regional Office was

selected to test the applicability of the system developed by the MSP.

Mission Support Project The MSP staff, which is within GAO’s Office of Information Management and

Communications (OIMC), focused on establishing network capabilities that

would enhance communication and improve information access to

3

“Test and Evaluation Plan for GAO’s LAN Project,” (Apr. 8, 1991).

4

This Division was formerly named the Human Resources Division.

Page 11 GAO/OIMC-95-7 Network and DCA Pilot Test
Chapter 1 

Introduction

support GAO’s mission of providing accurate information, unbiased

analyses, and objective recommendations.

MSP’s key objectives were to (1) work with users to develop a

mission-critical application—the Data Collection and Analysis (DCA)

application—that streamlined their work and improved performance;

(2) pilot-test the DCA in an operational setting; (3) evaluate benefits—time

and quality improvements—provided by the application and the network;

and (4) determine the best system configuration for GAO-wide

implementation. In addition, a key objective was to forge a partnership

between systems developers and users to ensure that the DCA and the

network environment met user requirements.

Our MSP team consisted of evaluators from divisions and regional offices,

technical specialists from OIMC, consultants, and contractor staff. We

worked with users who were carrying out GAO assignments to identify user

needs for technology and information access. Moreover, we have

extensive expertise in conducting GAO assignments and used it to refine

the information provided by the users to ensure that requirements were

accurately defined.

Objectives, Scope,

and Methodology

Our commitment to use technology to more effectively do GAO’s work has

focused on identifying user needs and then developing and implementing

mission-related applications and network technology to meet these needs.

We used information engineering (IE) to develop a comprehensive

understanding of the processes involved in conducting GAO assignments

and to determine what information technology could make these

processes more efficient and effective. IE focuses on the importance of

information to an organization’s success and the need for a constructive

and continuing partnership between systems developers and GAO staff.

This approach helped us focus on the processes and the tasks inherent in

GAO’s work so that from a systems development perspective, we could

identify (1) requirements needed to improve users’ work and

(2) technologies that met those requirements.

This approach will also support future GAO information and technology

needs from an agencywide perspective and will ensure that relevant

requirements are considered in developing the application. In addition, IE

complements the total quality management (TQM) principles currently

being implemented in GAO as it focuses on interactive teamwork and user

participation to address problems and areas needing improvement. As a

Page 12 GAO/OIMC-95-7 Network and DCA Pilot Test
Chapter 1 

Introduction

result, benefits realized include higher quality systems, improved customer

satisfaction, improved processes, better communications, and increased

productivity.

User Requirements

Identified

Using IE techniques, we identified primary user requirements for a system

that would enable users to carry out their work efficiently and effectively.

Further, we defined all assignment phases from job design to report

production, the first level of processes for each phase, and the

relationships between phases. We then concentrated on the data

collection and analysis processes and tasks and the specific user

requirements for each task.

To determine the baseline of user needs, we interviewed over 150 GAO

evaluators to delineate the activities, the tasks, and the steps they

completed as part of their assignments. We also obtained their input on

application features needed to streamline their work. We interviewed

Bands I, II, and III evaluators from GAO divisions and regional offices to

ensure that we captured the different roles and responsibilities inherent in

each level. The evaluators also reviewed documentation on the detailed

steps of the assignment process that had been developed using GAO’s

Policies/Procedures and Communications Manuals. The documentation

identified the assignment phases and the related processes within each

phase. The evaluators commented on and revised, as appropriate, the

documentation to reflect the tasks and the activities they completed as

part of the assignment process.

We also analyzed the suggestions in GAO’s Operations Improvement

Program (OIP) database to identify (1) potential requirements for the

workpaper application and (2) focal points in the user community to

interview about ongoing OIP projects relevant to the MSP efforts. The OIP

database included suggestions ranging from those that pertained to the

assignment process to suggestions related to such topics as promotions

and recruiting. We created a subsidiary database of the suggestions

directed at improving the assignment process, regardless of whether they

proposed the use of technology or not, because many could be

implemented in a computer and network environment and could provide

the improvements GAO-wide.

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Introduction

In addition, during 1992 and 1993,5 we sent questionnaires to the pilot unit

staff (about 900) to assess computer use and compare network and

stand-alone environments. These surveys addressed how computer

hardware and software and network technology had affected the

timeliness of completing assignments and the quality of products resulting

from assignments. The surveys also asked for user perceptions on how

computer usage had affected other variables, such as personal

productivity and morale. Respondents also commented on productivity

gains; the benefits of being directly connected (hard-wired) to the

network; dial-in access problems; as well as printer, hardware, software,

and training needs.

DCA Application

Developed to Address User

Requirements

The DCA is a suite of commercial software packages linked to standardize

and manage GAO-created documents. It is designed to be used on GAO’s

local area network (LAN) and wide area network and allows users to

quickly and easily communicate and share information with other

assignment team members at dispersed locations. These capabilities

reduce the time spent transmitting files and related information, increase

and enhance communications between staff, and provide a better means

to review workpapers and products and monitor assignment progress.

Designed to streamline numerous tasks and allow users to realize

timeliness and quality benefits throughout their assignments, the DCA

works with widely available word processing, spreadsheet, and graphic

Windows-based software applications. Additionally, the DCA uses an

off-the-shelf software program to facilitate managing, storing, and

researching GAO-created documents.

The technical design has several features. First, the design uses standard

modular industry-supported hardware and software that support an “open

system” standard. An open system standard enables network systems to

move toward a standard, less complex, and less risky environment and

allows the selection of hardware and software options from different

vendors. Second, the user interface uses the graphical design features

commonly found in Windows software. Windows presents a consistent,

easy-to-use environment that provides a means to create an application

that is effective, enhances user productivity, and is easy to learn and use.

Third, the design is built on the current GAO base of hardware and software

for both the network and the application.

5

Pilot unit staff completed questionnaires in September 1992 and November 1993 on how the network

system, computers, and software affected the way they performed their work.

Page 14 GAO/OIMC-95-7 Network and DCA Pilot Test
Chapter 1 

Introduction

The application also provides options to simplify and improve assignment

processes, such as developing an assignment plan, recording results of

interviews and analyses, and reviewing reports and other products. The

on-line access to job files and other data, coupled with search and retrieval

capability, enables staff to conduct more thorough searches and facilitate

the process of locating information. In addition, the application provides

features for creating and organizing workpapers, as well as on-line access

to GAO guidance, checklists, and forms needed throughout assignments.

The following paragraphs summarize GAO assignment processes and user

needs and summarizes how the DCA supports them.

Preparing Workpapers Using commercial word processing software, the application provides

users with standard workpaper templates for common types of

workpapers, such as a record of an interview, a record of inspection or

observation, and congressional or media contact memorandums. To

minimize repetitive entry of data, the application automatically moves

some data, such as the job title and the job code, to these workpapers

when they are created. These templates provide consistent formats and

prompt users to provide the information required to comply with GAO’s

policies for workpaper preparation. In addition, the DCA provides on-line

access to GAO’s Policies/Procedures and Communications Manuals, which

provide additional guidance on workpaper preparation.

Indexing Workpapers The application uses commercial document management software to meet

the requirement that workpapers be indexed to allow teams to organize,

manage, and retrieve the workpapers by subject, location, or other

distinguishing features of the assignment. In addition, the software enables

teams to create electronic file folders to further organize and

cross-reference workpapers to characterize information by categories,

such as topic, location, or audit task.

Accessing Workpapers for

Analysis and Review

The document management and full-text index features also enable staff to

search for and access workpapers by specific criteria, easing the process

of locating support. The on-line capability allows staff to quickly and easily

communicate and share information with other team members at

dispersed locations throughout the assignment, providing a means to

analyze information more thoroughly. The DCA also provides on-line access

to GAO reports published from November 1992 to the present, as well as

abstracts of GAO reports published between 1987 and 1992. This access

provides an extensive base of information that can be used for research

and is often included as background in current assignment work.

Page 15 GAO/OIMC-95-7 Network and DCA Pilot Test
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Introduction

Monitoring Assignment

Progress

Supervisors can review and comment on workpapers electronically at any

time and from any location, thus increasing the ability to monitor

assignment progress and reducing the time spent transmitting files and

related information. Supervisors can also more easily conduct oversight

and thereby provide uniform “team direction” to facilitate the audit

execution. In addition, the standard workpaper formats, document

management features, and full-text index search capabilities enable

supervisors to quickly locate pertinent information.

MSP Evaluation Strategy We worked with GAO methodologists to develop and implement a strategy

to identify and measure benefits of using the application in a network

environment. This strategy included (1) measuring the cycle time for

completing typical assignment tasks and (2) obtaining, through surveys

and group discussions, user perceptions on how the application and the

network affected their work.

Cycle Time Measurements We first identified the tasks that staff typically performed during

assignments by interviewing 50 evaluators throughout GAO. On the basis of

the interviews, we identified the tasks whose completion time would be

affected by the use of technology. These 14 tasks were:

• faxing documents,

• mailing documents,

• transmitting documents via modem and communications software,

• accessing software,

• accessing printers,

• locating policy and procedure guidance,

• preparing congressional contact memorandums,

• preparing forms,

• preparing tables of contents for workpapers,

• preparing records of interviews,

• numbering workpapers,

• cross-referencing workpapers,

• searching workpapers for information, and

• obtaining workpapers for supervisory review.

Before implementing the application at the pilot units, staff completed the

above tasks in a nonnetwork setting and in the MSP test environment to

provide precycle and postcycle times. We collected this information from

March through June 1993 to estimate the time savings expected from using

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Introduction

the application and the network for typical assignment tasks. Specifically,

we

• measured the cycle time needed to complete typical assignment tasks in

both a stand-alone environment (i.e., not linked to a computer network)

and an application and network setting;

• sent questionnaires to a GAO-wide random sample of evaluators to obtain

information on how frequently staff completed the tasks; and

• used the cycle time results and task frequency information to estimate the

time savings expected throughout GAO.

To obtain the stand-alone, or baseline, cycle time measurements, we had a

random sample of 25 pilot unit evaluators simulate the tasks in a

stand-alone setting at their own work locations. We provided the

instructions, time log sheets, and documents required so that the staff

could each complete the tasks using the same information and scenarios.

A second random sample of 25 pilot unit staff then simulated the same

tasks using the application and network setting at the MSP location in the

GAO Building. We recorded the time and the steps the 25 evaluators had

needed to complete the tasks and asked them to provide their perceptions

on how the application had affected task completion and compared this

with what would have been required in a stand-alone setting. We then sent

questionnaires to a random sample of evaluators (400) throughout GAO

who worked in a stand-alone setting to obtain information for estimating

the frequency of the tasks and associated time savings GAO-wide.

After the DCA was implemented at the pilot sites, we measured cycle time

for the same tasks to verify that the application and the network provided

the same work environment as the MSP work location did. We also focused

our evaluation on several specific jobs and audit teams at the pilot

locations to assess the impact of the application and the network in

carrying out their work.

Questionnaires During the pilot test, we surveyed the pilot unit staff to obtain their

perceptions on the benefits of (1) the network environment, (2) Windows

software and the graphical user interface, and (3) the DCA application.

While the surveys covered these three categories, not all staff were using

Windows and/or the DCA throughout the entire pilot test. Therefore, staff

completed the portions of the survey applicable for their experiences. We

also conducted periodic telephone surveys with pilot unit staff using the

DCA application to obtain feedback on experiences with the application.

Also, we obtained users’ suggestions for enhancements to modify the

Page 17 GAO/OIMC-95-7 Network and DCA Pilot Test
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Introduction

application to better meet user needs. A structured interview format was

used to ensure that all users were asked the same questions and given the

same opportunities to provide feedback.

Group Discussions We conducted group discussions with the pilot unit staff whose jobs had

been selected to use the application for assignments. These jobs are case

studies to illustrate how the network and the application made a

difference in completing assignment tasks, compared with a stand-alone

setting. The group discussions addressed the application’s features and the

way in which they met user needs, the ease and/or the difficulty of using

the application, the availability and the reliability of the application, and

any other information that further helped us evaluate the DCA and its

impact on the assignment process. We also asked staff to describe time

and quality improvements for their assignments. Another discussion topic

was DCA application training to determine whether it met user needs.

Issues addressed included whether (1) training had been available and had

been provided in a “just-in-time” manner, (2) it had covered all aspects of

the application, (3) follow-on training had been required and the reasons

why, (4) the training had covered the basic needs, and (5) the staff needed

only subsequent “hot-line” assistance.

Page 18 GAO/OIMC-95-7 Network and DCA Pilot Test
Chapter 2 

Network and DCA Streamlined Work

Processes and Improved Access to

Information

The pilot test showed that the network and the DCA application enabled

staff to use significant segments of time far more productively. Staff

indicated that a network environment saved time, as well as paper, fax,

and telephone expenses. Numerous and frequently performed tasks were

simplified, particularly the organization of and access to workpapers, the

volumes of information that are the “heart” of all GAO audits.

Communication and work group collaboration were enhanced because of

the easy and immediate access to the assignment information from any

place at any time.

Network Improved

Communication and

Information Access

Overall, GAO’s network environment kept users better informed and more

aware of relevant issues. It provided users a more efficient distribution of

information and encouraged and enhanced coordination. In addition, the

network allowed users to use their time more efficiently and provided

increased and enhanced access to information, compared with a

stand-alone environment.

Users surveyed believed that a network environment was much more

efficient for communicating with others and sending documents and

positively affected their personal productivity and morale. Nearly all the

pilot unit staff—99 percent—who responded to surveys used the network

to perform assignment tasks and over 94 percent were satisfied with it.6

Over 80 percent said that it was of great or very great help for

communicating with others, and over 70 percent said that it was valuable

for keeping them informed of work-related matters.

Over 80 percent said that the network had positively affected morale. They

indicated that morale had improved by connecting staff even though they

were located at various places. Further, staff responded very positively to

the issue of what the impact might be on their ability to communicate and

share information if the network were in place throughout GAO. The

following are examples of some of these responses:

• “It would be easier to receive communications from headquarters and to

share information with issue areas regarding jobs.”

• “This would greatly enhance my ability to communicate, etc., with folks in

D.C. I worked on a job in RCED where we had access to the network, and it

allowed us both greater communication and more timely communication.”

6

Information from questionnaires pilot unit staff completed in November 1993, May 1994, and

December 1994 on how the network system, Windows software, and the DCA application affected the

way they performed their work.

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• “A network really facilitates sending products to other locations and

receiving comments from others—expeditiously.”

• “Communication and ability to do my work would greatly improve.”

• “It would make it a lot easier to communicate across division lines. In fact,

I’ve delayed getting messages to people in non-LAN divisions because of the

relative difficulty communicating with them.”

Access to information also has improved with the introduction of a

network environment. Over 80 percent of the respondents said that the

network was much faster and easier for sending and receiving automated

files compared with the previous method of using dial-up communications

software in a stand-alone setting. Also, staff who sent or received files

more frequently indicated to a greater extent that it was easier and faster,

compared with staff who performed these tasks less often. For example,

of staff who sent files 10 or more times a month, over 80 percent said that

the network was much faster and easier. Of staff who sent fewer than 10

files a month, about 68 percent said that the network was much faster and

easier.

Moreover, staff also responded that the network environment provided a

faster and easier access to some software packages, compared with a

stand-alone setting. For example, over 50 percent said that to use graphics

software was faster and easier, given that the network enabled staff to

access this software from their desktops. In a stand-alone setting, graphics

software was not always easily accessible since it was located only on

certain workstations.

Windows Software

Improved Work

Setting

The introduction of Windows software also improved staff’s computer and

work environment. Staff who indicated that they used Windows software

all or almost all the time were satisfied with this software and were more

likely to say that it was easier and faster than non-Windows software.

About 90 percent of these respondents said that Windows made it easier to

switch from one software application to another. But of those who used

Windows software half the time or less, only 40 percent said that it was

easier for this task. This is not uncommon as it takes time to learn how to

use new software and transition to this new operating environment. But

once staff have worked frequently with Windows, most agree that it is

easier and faster.

Staff also indicated that using Windows software on the network was

easier and faster than using non-Windows software in a stand-alone

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setting. Over 85 percent of the staff said that the Windows version of

electronic mail was faster and easier for sending and receiving automated

files, compared with the previous method of using dial-up communications

software in a stand-alone setting. In addition, staff who sent and received

files more often indicated that using Windows on the network was faster

and easier.

DCA Provided

Qualitative and

Quantitative Benefits

Our pilot test showed that the DCA in a network setting, compared with a

stand-alone setting, provided a more efficient work environment and

enabled the staff to use their time more productively. The application

provided the users with several benefits, such as on-line access to

workpapers created at different locations and an easier method for

organizing and locating information. Complementing these benefits,

improved access to software and printers was provided by the network.

The DCA and the network saved time by automating routine tasks and

streamlining numerous processes. While the time saved on an individual

task may be a few minutes, these savings multiply dramatically given the

frequency of that task throughout the agency.

DCA Enhanced the

Assignment Process

The application benefited staff throughout the assignment process.

Specifically, the 25 evaluators who tested the application said that it

• provided a faster and easier method for organizing workpapers and

locating information;

• better ensured that they identified and used all relevant information and

evidence for analysis, indexing, and referencing;

• enabled them to access and review workpapers in a more timely manner;

• enhanced access to information, software, and printers;

• fostered compliance with GAO requirements; and

• streamlined administrative tasks, such as completing forms and

memorandums.

DCA Saved Time We believe that on the tasks we assessed, evaluators would be able to use

significant segments of their time far more productively using the DCA

rather than working in a stand-alone mode. Table 2.1 shows an estimate of

the time savings for typical tasks in the assignment process.

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Table 2.1: Time Savings for Typical

Tasks in GAO Assignments

Task

Minutes to complete task

without application

Minutes saved when task

is done using application

Faxing document 13 11.5

Mailing document 9 7.3

Transmitting document by

modem

23 20

Accessing software 6 5.4

Accessing printer 9.5 7.2

Locating policy guidance 8 6.8

Preparing congressional

contact memorandum

15 12.4

Preparing distribution forms 17.5 15.2

Preparing workpapersa 43.5 40.1

Cross-referencing

workpapers

15.5 14

Searching for information in

workpapers

15.5 14.9

Retrieving workpapers to

review

4 3.4

Note: Individual column information cannot be used to calculate annual staff-days savings since

some tasks represent a series of steps that were summarized for the task and for this table.

Additionally, some of the tasks may be done more often during one assignment versus during

another. For example, an assignment that has two regional offices working with a headquarters

division may fax or transmit documents more often than an assignment where only headquarters

staff are involved.

aIncludes creating a standard Record of Interview format for a workpaper, assigning numbers to

workpapers, and preparing tables of contents for workpapers. The time needed to develop the

workpaper content was not measured as this will vary, depending on such things as the length of

the interview, the amount of information provided, and the substance and the complexity of the

issues addressed.

Time was saved throughout because the tasks were automated, steps

eliminated, and delays avoided. To illustrate, evaluators estimated that to

thumb through bundles of documents to locate specific information or

support for an issue would take over 15 minutes in the current stand-alone

setting. With the application, about 30 seconds was required to locate

specific information. Staff also said that the application enabled them to

access more information than they could have by relying on memory.

In addition, on-line access allowed staff to immediately review

workpapers created at different locations, such as audit sites or regional

offices. To meet internal requirements for fulfilling appropriate audit

standards, supervisors routinely need to review workpapers that are at

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other locations. The on-line access saved time that would have been spent

traveling to these separate locations, as well as the time used to fax or

mail documents or to transmit information via modems with

communications software. Furthermore, staff said that this enhanced

access to information would enable them to improve products and be

better informed about the jobs’ progress.

Time needed to prepare and organize workpapers was also saved. For

example, pilot staff needed over 30 minutes to prepare (type or handwrite)

a separate table of contents for a bundle of 25 workpapers. In addition,

they needed about 8 minutes to assign numbers to these workpapers.

However, the DCA eliminates these tasks by automatically creating a

comprehensive table of contents and assigning numbers as the

workpapers are created.

Product development is also streamlined with the DCA since staff can move

text from the workpapers into the report, instead of rekeying it. This saves

time and allows staff to focus on higher-level tasks.

Information Access Was

Enhanced and Simplified

The application provided a powerful capability that enabled staff to search

and locate information by document type, preparer, key word(s), or other

key characteristics. This capability greatly enhanced staff’s ability to

locate specific information. In contrast, when the workpapers were not in

the DCA, information evaluators identified was limited to their memory of

how and where they had recorded information. Locating the information

often involved a time-consuming manual search.

The application also provided on-line access to GAO reports, abstracts, and

open recommendations, coupled with key word search and retrieval

capability, so that staff could quickly search for and identify information

relevant to current assignments. This is a more efficient and faster means

to locate information, compared with manually searching through files for

reports on relevant topics or asking GAO’s Technical Library to search its

database of issued reports. For example, an Assistant Director in the RCED

pilot group used the GAO report search to respond to a congressional

inquiry about recent work on a transportation issue. She was able to tell

the requester the titles and the report numbers for recent GAO reports on

the issue while the requester was still on the phone.

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Communication and Work

Group Collaboration Was

Enhanced

Staff could communicate and collaborate more easily and extensively with

the DCA and the network. With all documents on-line, staff could

immediately share their data with colleagues, no matter where they were

located, and work together to analyze the information. Without the

application and the network, accessing and reviewing workpapers was

often difficult and at times infrequent since the documents existed only as

hard copies and were often located at regional offices or audit sites. To

share information in a stand-alone setting, staff would have had to fax or

mail documents from one office to another or travel to a regional office.

However, staff who used the DCA and the network said that they provided

enhanced, faster, and easier access to information and would enable them

to improve products. In addition, they said that they would be better

informed and might refine the audit scope and the approach on the basis

of the information collected midway through assignments.

The application also streamlined product reviews since supervisors could

access, review, and provide comments on-line. In addition, the application

kept a continual log of who had accessed and edited the products. Another

benefit is that product reviewers could use the on-line workpaper access

to retrieve additional information to clarify any outstanding issues or

assess whether supporting data had been properly characterized.

The pilot unit staff also said it would have been helpful to have had all

units using the DCA application so that the entire job team could enter and

share workpapers. While they understood that this technology needed to

first be tested in a pilot setting, they often noted the additional benefits

that would accrue once all of GAO is using the DCA and the network. These

benefits again centered on communication, coordination, and

collaboration improvements; better use of time; researching and applying

previous job information and avoiding rework; and the ability to be more

responsive and better informed. For example, staff said that the

workpaper information from previous, related jobs would often be very

helpful and avoid duplication of efforts. Currently, when a job ends, the

workpapers are filed, shipped to storage, and eventually destroyed. With

the DCA application, this information can be stored electronically,

accessed, and built on for subsequent, related efforts. As the DCA is

implemented throughout GAO, this ease of interaction and information

access will continue to expand and support GAO’s core group concept.

Conclusions We achieved our overall objectives of developing, testing, and

implementing a mission-critical application, as well as determining the

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GAO-wide network configuration that best met user needs. The DCA

application and the network provided a technological system for

addressing the most critical needs of evaluators in conducting audits—the

development of and access to information collected during assignments.

The DCA streamlined typical assignment tasks, and the easy and immediate

access to assignment information improved communication and work

group collaboration.

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Implementation of New Technology

As we anticipated, the network and DCA pilot test introduced significant

technological changes in the way staff carry out daily assignments and,

inevitably, generated some user resistance. To deal with these challenges,

we implemented a comprehensive project planning and management

process; expanded the customer and network control facilities to enhance

user and technical support; and ensured just-in-time training programs,

which included management’s unequivocal support for the new

technology and work processes.

Comprehensive Plans

Developed for

Network and DCA

Implementation

We recognized that the planning and the management of any project as

massive as the network and the DCA rollout would require a highly

structured approach. By necessity, the project involved many players:

• five GAO staff offices (OIMC, the Office of Real Property Services, the

Training Institute, the Office of the General Counsel, and the Office of

Acquisition Management);

• multiple contractors; and

• representatives of the individual divisions, regional locations, and audit

sites being added to the network.

As a result, we developed a project planning and management process to

define tasks, assign responsibility, develop schedules and budgets, and

track results. This approach has proved highly successful even though the

project itself has grown to include in excess of 14,000 tasks.

Project Structure We based the structure of the GAO-wide rollout project on the approach we

had found successful in the pilot. We had learned there that once we had

established the network infrastructure, staff needed both training and time

to master the new tools before they could apply them in new work

processes. Therefore, we had provided units with training on basic

network concepts and Windows applications just before or concurrently

with the installation of their network. Then they had worked for 3 to 6

months in the network environment and had become familiar with

Windows and experienced firsthand the communications benefits

provided by electronic mail and the network’s file transfer capabilities.

Next, we had activated the DCA and provided them training on its

capabilities, along with management’s expectations on how this software

would be used in their assignments.

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Integrated Project

Management

While this process is relatively uncomplicated to describe, it is quite

complex when it is applied to introducing technology to over 4,400 staff

dispersed at 60 organizational locations. The magnitude of this

undertaking required that we use a highly disciplined process to ensure

that we clearly defined each task, identified any other tasks upon which

they depended or which depended on them, and then managed all tasks

closely to ensure their timely completion.

To direct this process, we used two management teams, each of which met

weekly. One team directed the network and DCA rollout project, and the

other managed the configuration of the network and its tools, modifying

them as necessary to resolve technical and budgetary issues. These two

teams used the network and its powerful project management software to

address all aspects of the rollout of the network and the DCA by dividing

tasks into two groups, those related to general project activities (e.g.,

procurement, application development and testing, communications, and

training) and those related to installing the network and the application

software at individual work locations and training staff in their uses. The

teams then used the software to manage the tasks, track their progress

against estimated milestones, and report on their status to management.

This discipline developed a sense of teamwork among project participants.

It continually reminded them of where their activities intersected with

those of other managers, some of whom they were depending upon and

some of whom were depending on them. In addition, by identifying the

interdependent project tasks, the teams focused on the importance of

managing according to the estimated milestones and kept the project close

to its originally projected dates.

Site Preparation and

Installation Plans

This structured planning was particularly helpful in managing the complex

set of tasks required to install a network at each organizational location.

Each location brings a unique mix of a wide variety of elements:

• staff size;

• existing hardware and software;

• type of space: GAO owned, commercial, or host agency;

• permanence of location (anticipated move date if nonpermanent);

• location of current wire closets and other structures carrying the

building’s electrical system and the capacity of existing electrical systems;

• heating and air-conditioning capacity and hours of operation; and

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• presence of a local area network (if present, its conformance to GAO’s

current standards).

For each location, we identified and analyzed all these elements in a site

survey to determine the level of effort and the specific steps that we would

need to take to bring in a network. With the survey data in hand, we then

ordered the hardware and the software the site required through contracts

that we had specifically awarded for that purpose. We also used the survey

to develop a detailed design of the proposed cable plant to guide the

cabling and installation teams, identifying the location of each network

workstation, printer, and server, as well as the location of the wiring

closets and the potential connection points for the network. Depending on

the location and the type of site, we then selected the appropriate

contractor to install the cable plant and delivered the network hardware to

the location. When the contractor had completed the installation, we

tested the hardware to make sure it conformed to the design standards.

Concurrently with these tasks, we employed a separate contractor to

make any changes to the location’s electrical and air-conditioning support

required by the new network.

As the cable plant was being installed, we also prepared the location’s

end-user hardware and software. The specific number and configuration

of server(s) depended upon staff size and the types of applications to be

performed at the site. We configured and tested the server(s), and then

loaded the software the site required. We also installed network interface

cards in each workstation and delivered them to each site.

Finally, another team completed the installation. It connected the

server(s), workstations, and printers to the cable plant, and if the location

was not in the headquarters building, the team connected the local area

network to GAO’s wide area network, allowing it to exchange data with

other GAO locations. We then verified that all network functions were

operating normally and completed the systems integration.

The variables that drive this process would not have been manageable

without our project management approach. To illustrate, we had to

manage 12 major tasks containing about 86 subtasks and coordinate the

efforts of our own staff with a variety of contractor teams, their number

ranging from 2 to 4 depending on the situation at a particular site. Given

the number of organizational locations covered by the project, this was a

challenging undertaking.

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Acquisition and Budgeting

Issues

As did site preparation and installation, our acquisition process required

careful planning and management. In the middle of fiscal year 1994, we

received authorization to proceed with the rollout of the network and DCA.

We were faced with establishing a procurement vehicle that would meet

the multifaceted requirements for this project, everything from network

infrastructure hardware to end-user software and the labor services

needed to install and maintain the total plant. Our task was complicated by

two facts: (1) many of our existing contracts for information technology

and services were about to terminate and (2) our procurement efforts

would take place during the always hectic year-end buying period.

As we had with the rollout as a whole, we formed a team representing the

pertinent offices—General Counsel, Acquisition Management, and

OIMC—to improve communication and reduce obstacles. The team defined

the key activities required in the balance of fiscal year 1994 and those for

fiscal years 1995 and 1996. The team also established some working

guidelines:

• use existing contracts and governmentwide agreements wherever possible

(such as contracts for cabling and telecommunications);

• use the reprocurement of terminating contracts as the vehicle for meeting

our new network requirements wherever possible;

• negotiate directly with software providers for agencywide software; and

• use the mixture of competitive and noncompetitive contracts best suited

to our needs.

Working with these guidelines, we were able to undertake and put in place

six major procurement activities in fiscal year 1994:

• a labor services replacement contract for various network tasks (e.g., user

support and network operations and support);

• a hardware maintenance services replacement contract;

• an operations and maintenance replacement contract for administrative

systems, small systems development, and customer support;

• a high-level configuration design and engineering support contract (e.g.,

testing structures and compatibility testing);

• a contract to install the hardware and the software for the basic network

infrastructure; and

• a contract to install the hardware and the software for the DCA.

With these contracts in place, we then worked to ensure that they would

provide us with the quality and the timeliness of service that we required.

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Our project management approach had demonstrated how tightly

interrelated our tasks were and how a slippage by one contractor could

roll throughout the project, causing delays in networking numerous units.

As a result, we worked closely with the top management of our

contractors to understand the stresses that they were under and to

guarantee that they were clear about our priorities, schedules, and

concerns. While we have experienced some delays, they have been

relatively few given the size and the complexity of this project.

Customer and

Network Support

Enhanced and

Expanded

We are well aware that the ability of our network and the DCA to achieve

the type of benefits that GAO seeks will depend largely on how well we

support users. We also recognize that by establishing the network and its

applications, we are creating a new working environment for GAO. If that

environment fails or becomes inefficient because of technical problems, it

could compromise the performance of our mission until service is

restored. As a result, we are expanding our Customer Support Facility and

Network Control Center to ensure the expected support and efficient

operations.

Customer Support Facility User support is a complex undertaking. Many users work in locations far

from headquarters, and many others are traveling far from their own

offices or working at home; however, they all require support in the new

interface and applications provided on the network, as well in the use of

them in their assignments. To deal with these issues, we have established a

two-tier support mechanism. The first tier is at the user’s permanent

location, where the network focal points and administrators are sources

for immediate help and troubleshooting and know how to use the new

applications in a typical GAO assignment. For those problems whose

resolution requires a level of technical skill beyond that of the local

support or for traveling staff, we have established the second tier, the

Customer Support Facility, which is staffed weekdays from 6 a.m. to

midnight E.S.T. and weekends from 7 a.m. to 7 p.m. E.S.T.; support at

other times is available through voice mail and pager service with a

guaranteed immediate call-back option.

Within the Customer Support Facility, a caller is provided multiple types

of assistance depending on the nature of the problem. The caller is first

handled by the Help Desk, which logs the call, identifies the type of

problem, and transfers the caller to a support specialist. This specialist is

responsible for resolving the problem, if possible, or diagnosing it and

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passing it on to the appropriate group for resolution: the Network

Operation Team, the Software Operation Team, or the hardware

maintenance contractor. Because this approach is designed to deal with

the unique nature of each caller’s problem, we hope to quickly resolve

problems, reduce customers’ frustration, and get them back on the job.

Network Control Center Network control is extremely difficult in an environment as complex as

ours. The development of centralized network management support tools

is relatively immature. The hardware and the software do not yet exist to

monitor every device on the network and identify problems before they

interrupt operations. Doing so is a daunting task. Like all networks of any

size, ours has thousands of different devices linked to the network

infrastructure and thousands more which form the network itself. In

addition, these devices come from thousands of different manufacturers,

and while they are designed and configured to operate together, the

industry is not yet so standardized that the status of each can be

determined from a central point.

We have, however, taken the first steps in securing such a capacity. We

have procured the dominant industry platform for network management.

When this combination of hardware and software is fully implemented, it

will allow us to proactively review the status of major devices across the

network, determine traffic patterns, and highlight potential trouble spots.

While the platform provides a rich set of tools, implementing it will require

a significant level of effort. We will need to standardize the network as

much as possible, ensuring that each device on it has a unique address that

can be identified and monitored centrally. However, we recognize our

ability to manage the full network centrally will come only with the

continued development of this segment of the information industry.

Comprehensive

Training Strategy

Developed

The Training Institute has developed a comprehensive program to support

the successful implementation of the DCA.

The program will begin with a “DCA Leadership Briefing and Workshop,”

targeted to the Senior Executive Service leaders and staff managers. This

course will provide a framework for understanding the dynamics of

organizational change and the skills, the tools, and the techniques for

managing change involving new technology. As part of the course, the

executives and the managers will lead their units and core groups through

the DCA implementation.

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In addition, all staff will attend a “DCA Overview Briefing” to learn about

the DCA’s features and benefits and the impact that we anticipate it will

have on GAO’s work processes. At these sessions, unit leadership will set

expectations for staff to learn about and adapt to the new environment.

This overview will also consist of

• a DCA demonstration;

• a briefing on benefits, use of the DCA, organizational implications, and

support provided for implementation; and

• group discussions.

Classroom training on the DCA will follow the overview. It will include a

1-day course to teach the basics of the DCA, which will be followed by

several specialized training sessions—either on-site workshops or

self-paced instruction—to learn additional DCA capabilities. In addition,

staff will complete self-assessments a few weeks after training to identify

their current skills and any additional training and/or assistance they

might need. Finally, once the staff are back on the job, they will have the

support of focal points and user groups at their units to reinforce the skills

that they have developed in the classroom.

Conclusions Several best practices were developed from the pilot experience, which

GAO used in preparing a detailed plan for GAO-wide implementation of the

computer network and the DCA. We have implemented this plan to ensure

that the installation process is appropriately carried out and managed, to

enhance user and technical support, and to provide the just-in-time

training and management support needed for successful implementation.

Page 32 GAO/OIMC-95-7 Network and DCA Pilot Test
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