OFFICE OF 

INSPECTOR GENERAL 

Information Technology 

Infrastructure 

Project Management 

A-07-02 

Report of Audit 

FARM CREDIT ADMINISTRATION 

Tammy Rapp 

Auditor-in-Charge 
 

 

 

 

 

 

 

 

Memorandum	 Office of Inspector General 

1501 Farm Credit Drive 

McLean, Virginia 22102-5090 

June 18, 2008 

The Honorable Leland A. Strom 

Chairman of the Board 

Farm Credit Administration 

1501 Farm Credit Drive 

McLean, Virginia 22102-5090 

Dear Chairman Strom: 

The Office of the Inspector General completed an audit of the Information Technology 

Infrastructure Project Management. The objective of this audit addressed the project management 

practices used by the FCA to minimize risks associated with making significant changes to the 

information technology infrastructure. 

We determined that the IT Infrastructure Project was well planned and managed, and the process 

complied with Agency policy and best practices. We did note one area where improvement could 

be made. The Office of Management Services (OMS) has agreed to develop a quality assurance 

process for IRM Plans that includes verification of estimated project costs. 

We conducted the audit in accordance with Government Auditing Standards issued by the 

Comptroller General for audits of Federal organizations, program, activities, and functions. We 

conducted fieldwork from October 2007 through March 2008. We provided a discussion draft report 

to management on April 28, 2008, and conducted an exit conference regarding the discussion draft 

report with the Chief Information Officer and Director of OMS on May 22, 2008. We then provided a 

final draft report to management on June 4, 2008. 

We appreciate the courtesies and professionalism extended to the audit staff. If you have any 

questions about this audit, I would be pleased to meet with you at your convenience. 

Respectfully, 

Carl A. Clinefelter 

Inspector General 
EXECUTIVE SUMMARY ......................................................................................................... 1
 

INTRODUCTION AND BACKGROUND ................................................................................ 2
 

OBJECTIVES ........................................................................................................................... 3
 

SCOPE AND METHODOLOGY.............................................................................................. 3
 

OBSERVATIONS AND RECOMMENDATIONS.................................................................... 4
 

Project Plan................................................................................................................................. 4
 

Project Scope & Requirements................................................................................................5
 

Human Resources Management .............................................................................................6
 

Time Management...................................................................................................................... 7
 

Cost Management...................................................................................................................... 7
 

Communications ........................................................................................................................ 8
 

Quality Assurance ..................................................................................................................... 9
 

Risk Management .................................................................................................................... 10
 

ACRONYMS AND ABBREVIATIONS .................................................................................. 11
 

TABLE OF CONTENTS 
 

 

                                   

                             

                          

            

                     

               

   

      

           

                       

          

                       

           

                               

                                   

                                

                         

   

                       

                             

                                  

                       

                              

                             

         

                            

                             

                               

                       

         

                                 

                       

EXECUTIVE SUMMARY 

The FCA isin the process of migrating itsIT infrastructure from a legacy platform to a tightly

integrated solution. The migration of the IT infrastructure is a large, complex project affecting all

users of FCA systems. The mostsignificant changesto the IT infrastructure include:

•	 new notebooks and personal digital assistants;

•	 an upgrade in the notebook operating system and office automation software;

•	 replacement of the Agency’s email and calendar application;

•	 unified messaging;

•	 centralized network services;

•	 an upgrade of the telecommunicationsinfrastructure; and

•	 migration of legacy applications and databasesto a new database managementsystem

and collaboration and document management platform.

The Agency has dedicated significant resourcesto the IT infrastructure transition including

extensive man‐hours and direct expenses.

The OIG performed an audit of the project management of the IT Infrastructure Project because of

the long term impact this project will have on the Agency and the amount of resources devoted to

this project. The objective of our audit wasto determine if the Agency is using sound project

management practicesto minimize risks associated with making significant changesto the IT

infrastructure.

We evaluated the effectiveness of project management and determined that the IT Infrastructure

Project was well planned and managed, and the process complied with Agency policy and best

practices. The OMS utilized a group of usersthroughout the Agency to perform a pilot of the

proposed IT infrastructure providing confirmation that the proposed tools would benefit the

Agency and meet user needs. In addition, the Agency is using a phased implementation approach

breaking down the IT Infrastructure Project into a logicalsequence of activities minimizing the risks

associated with a large project.

The project costs are within the approved IRM budget. Although the project encountered some

schedule slippage as a result of external factors, the overall projectshould meet itstargeted

completion by December 2009. In addition to enhanced productivity and long term costsavings,

the Agency will benefit from improved communication and collaboration, improved data access,

and simplified IT maintenance.

We did note one area where improvement could be made. The OMS should develop a quality

assurance processfor IRM Plansthat includes verification of estimated project costs.

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 1

 Excerpt from September 5, 2007 Decision Memorandum issued by the TT Project Manager to the CIO and Director, OMS 

INTRODUCTION AND BACKGROUND 

In fiscal year 2007, the FCA performed a review of itsIT infrastructure to determine if alternative

technologies would benefit the Agency. Since the pilot results of the proposed IT infrastructure

were favorable, the Agency decided to migrate to the new IT infrastructure using a phased

implementation approach. The IT infrastructure hosts and delivers all applications at FCA and is

essential to efficiently providing the tools users need to perform their duties. The OIG selected this

project to audit because of the long term impact this project will have on the Agency and the

amount of resources devoted to the project. Without effective project management, the project is

at risk for notsatisfying the needs of the Agency, exceeding budget, and/or not meeting the

planned schedule.

Since the previousIT infrastructure wasimplemented in 1994 and nearing the end of itslifecycle,

the Agency included an IT Infrastructure Review Project in its 2007 IRM Plan to evaluate the

methods of delivering IT services and determine if an alternative IT infrastructure would better

meet the future needs of the Agency.

From June through August of 2007, the OMS partnered with an experienced contractor and

performed a pilot approach to the proposed IT infrastructure. The pilot included a group of users

throughout the Agency. The pilot group tested replacement notebooks and an integrated suite of

toolsthat included an upgraded operating system, upgraded office automation software, new

email and calendarsolution, unified messaging, as well as other communications and collaboration

tools.

“The pilot demonstrated that the new infrastructure will provide FCA several key benefits. The

selected products delivered significant capability improvements over the existing infrastructure,

particularly in the areas of communications, collaboration, data access, and enterprise search on a

platform designed to support mobile, disparate users. The simplified maintenance of the new design

will allow OMS to deliver more capabilitiesin support of the mission of FCA without requiring

significant increasesin resources.1

”

In conjunction with the pilot, the contractor performed a business processreview of three key

Agency activities: the FCA examination process, the FCA regulation development process, and OMS

service delivery. The contractor and OMS also worked together to migrate a sample of applications

and databasesto the new integrated IT infrastructure, as well astest a new network design.

In September 2007, the CFO/Director of the OMS and CIO approved a phased implementation of

the integrated IT solution as a result of the TT Project Manager’sformal recommendation and

successful outcome of the pilot.

The OMS completed a rollout of new notebooks and desktop toolsin March 2008 and anticipates

completion of the upgraded telecommunicationsinfrastructure, and application and database

migration, the final phases of the IT infrastructure transition, by December 2009.

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OBJECTIVES 

The objectives of this audit were to determine if FCA is using sound project management practices

to minimize risks associated with making significant changesto the IT infrastructure. We evaluated

the effectiveness of project management and determined if it complied with Agency policy and

best practices.

SCOPE AND METHODOLOGY 

The scope of this audit waslimited to reviewing the project management of the IT Infrastructure

Project. As of March 2008, the rollout of the new notebooks and network infrastructure was

complete and the application/database migration wasin the planning phase. In conducting this

audit, we performed the following steps:

o	 Identified and reviewed applicable FCA policies and proceduresrelating to IT project

management;

o	 Identified and reviewed best practicesrelating to IT project management;

o	 Reviewed documentation relating to the IT Infrastructure Project and compared to applicable

Agency policy and best practices;

o	 Conducted interviews with the CIO, Director of OMS, project managers, OMS staff, an IRMOC

representative, and users; and

o	 Evaluated the effectiveness of the following project management elements:

1.	 Project Plans;

2.	 Project Scope and Requirements;

3.	 Human Resources Management;

4.	 Time Management;

5.	 Cost Management;

6.	 Communications;

7.	 Quality Assurance; and

8.	 Risk Management.

This audit was performed at the FCA headquartersin McLean, Virginia, from October 2007 through

March 2008, in accordance with generally accepted auditing standardsfor Federal audits.

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2

 OMS Office Directive 003, Guidance for Project Management of Large Information Technology Projects (Total Cost More 

than $500,000) 

       

       

       

       

   

       

   

CONCLUSIONS AND RECOMMENDATIONS 

IRM Plan

Large Project Action Plan

Infrastructure Review

Large Project Action Plan

Infrastructure Rollout

Large Project Action Plan

Application & Database Migration

(to be developed)

Large Project Action Plan

Telecommunications Infrastructure

(to be developed)

Project Plan 

The FCA utilizes multiple toolsfor project planning of
 

major IT investments. Annually, the Agency develops a
 

six‐year IRM Plan which is used as a guide for IT
 

initiatives. In addition, project managers develop large
 

project action plansthat are used to identify and track
 

the critical elementsfor large IT projects. The diagram
 

on the right demonstratesthe key planning tools used
 

by project managersfor the IT Infrastructure Project.
 

In 2005, the OMS developed Office Directive 0032
 

requiring large IT projectsto follow a processto ensure
 

that risk is minimized through effective project
 

management. This processincludesthe development
 

of a “FCA Large Project Action Plan” prior to beginning
 

material work or expenditure of IT resources on the
 

project. Elementsthat must be identified in the large
 

project action plan include:
 

• Goals and objectives;

• Projectstakeholders;

• Major project milestones;

• Estimated FCA manpower;

• Major purchases over $5,000;

• Communications plan;

• Contingency plan;

• Security plan; and

• Certification and Accreditation.

The large project action plans developed for the Infrastructure Review and Infrastructure

Rollout contained all the critical elementsrequired in Directive 003. The large project action

plans contained clear goals and objectives. Projectstakeholders were identified. Major

project milestones were established. Manpower required for the project was estimated on a

quarterly basis. Major purchases over $5,000 were identified. A thorough communications

plan was described. A contingency plan was considered for potential challengesto the

project. The security plan isin the process of being updated and a milestone for a C&A of the

new IT infrastructure was established.

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Although the large project action plansfor the Infrastructure Review and Infrastructure

Rollout contained the critical elementsrequired by Directive 003, we found there wassome

overlap between the large project action plans. For example, the scope of the Infrastructure

Review Large Project Action Plan included notebook replacement and a pilot evaluation of

the proposed IT infrastructure. The scope of the Infrastructure Rollout Large Project Action

Plan represented a phased implementation of the notebook deployment and IT

infrastructure recommended during the Infrastructure Review pilot. As a result of this

overlap, consulting costsfor development of the prototype were included in both the

Infrastructure Review Large Project Action Plan and the Infrastructure Rollout Large Project

Action Plan. When developing large project action plans, the project managershould avoid

duplication of items contained in previous plans.

Further, we determined that two additional large project action plans will be developed for

managing subsequent phases of the project. The Infrastructure Rollout Large Project Action

Plan identified a review and migration of applications and databases and review and

installation of the telecommunicationsinfrastructure during Phase II and III. The

Infrastructure Rollout Large Project Action Plan did not identify specific milestones or

estimated costsrelated to the telecommunicationsinfrastructure, because the TT Project

Manager plansto develop a separate large project action plan with additional milestones

and estimatesfor the telecommunicationsinfrastructure. There will also be a separate large

project action plan for the review and migration of applications and databases providing

additional detailsfor that phase. However, the Infrastructure Rollout Large Project Action

Plan did not refer to subsequent large project action plansthat would be developed and

incorporate more specific milestones and costs. For projects with multiple phases where

additional large project action plans are necessary, the project managershould identify the

itemsthat will be included in additional large project action plansrepresenting subsequent

phases of the project.

Project Scope & Requirements 

A clear understanding of the project is necessary to ensure the projectstays on track and is

properly controlled. A review of the decision memo, large project action plans, interviews,

and IRMOC minutes demonstrated that the scope and requirements were clearly defined

and linked to Agency mission as well as user needs. In addition,security, accessibility, and

privacy requirements were identified and considered in the project.

The IT Infrastructure Project is a large complex project affecting all users of FCA systems. The

implementation of the project will take place over a 2 1⁄2 year period and includes a

combination of recurring maintenance/replacement items as well as new development.

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Specifically, the scope of the project includes:

•	 notebook replacement;

• client operating system upgrade ;
 

• office automation software upgrade;
 

•	 replacement of Agency email and calendar application;

•	 unified messaging;

•	 PDA replacement;

•	 decentralized serversto centralized wide area application services;

•	 update of disaster recovery site configuration;

•	 migration of legacy applications and databasesto new database management

system and new collaboration and document management platform;

•	 work processimprovement; and

•	 telecommunicationsinfrastructure upgrade.

Human Resources Management 

Human resources management includes organizing and managing the project team and

ensuring projectsupport. Based on interviews and observations during this audit, we

conclude that the Agency effectively managed the project team, provided adequate support

to the IT Infrastructure Project, and provided adequate training to IT staff and users.

The IT Infrastructure Project involved varioustypes of personnel throughout the Agency. The

CIO and Director, OMS play an active role in overseeing the overall project, and the two

project managers have an active daily role in managing their respective areas of the project.

The IRMOC provided support throughout the project including limiting requestsfor new IT

projects during critical times of the IT infrastructure transition. A pilot group representing

usersthroughout the Agency wasinvolved in evaluating the proposed infrastructure,

performing testing, and providing feedback throughout variousstages of the project.

We determined that key technicalstaff hasthe appropriate skill mix to ensure the success of

the project through a combination of experience and training. Where certain new skills were

required, a qualified and experienced contractor was used to assist and teach technicalstaff

via knowledge transfer. The new application development toolsrequire a significantly

differentskillset than required with the former IT infrastructure, which made it necessary for

OMS to make changesto the AT. The Chief Human Capital Officer advised and assisted the

CIO and project managers on personnel issues encountered as a result of the significant

impact the new IT infrastructure would have on AT staff and the respective skillsrequired to

perform their jobs.

Appropriate technical training was provided and continuesfor the technicalstaff. In

addition, the end users were provided with professional training performed by OMS staff

and manualsfor the new desktop tools.

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Time Management 

Effective time management ensurestimely completion of the project. A schedule with

milestonesshould be used for monitoring project progression, keeping the project on track,

and ensuring sufficientstaff resources. The IT Infrastructure Project was broken down into a

logicalsequence of phases and activitiesto minimize the risks associated with such a large

project. The IT Infrastructure Project encountered some unanticipated difficulties primarily

due to a manufacturing delay with the new notebooks. The change from Smart Phonesto

Blackberry devices did notsignificantly impact the schedule.

The TT Project Manager usesthe Infrastructure Rollout Project Plan to monitor the progress

of milestones and deliverables. Thisschedule is monitored and updated on a weekly basis.

When necessary, changes are made to the schedule with a column for revised due dates and

other notes. In addition to thisschedule, the TT created sub‐plans and schedules with details

regarding specific taskssuch as notebook configuration, Blackberry implementation, and

McLean and field office rollouts. The TT was able to quickly reassign staff resources as

necessary to meet the needs of the project.

The milestone for the C&A process was extended to June 2008 because of extenuating

circumstances. The CIO and Security Officer have developed a contingency plan for the C&A

process and are monitoring the situation closely. The C&A process provides assurance that

the new IT infrastructure has adequate security.

The AT Project Manager plansto develop a schedule for the development and conversion of

applications and databases after an inventory has been finalized and system sponsors have

been consulted. The AT will develop estimatesfor each application and a large project action

plan with supporting schedulesfor the application and database migration phase of the IT

Infrastructure Project once the notebook rollout is complete and an inventory has been

developed with key system sponsors. The AT Project Manager provided the CIO with the

application and database inventory in April 2008.

Significant issues encountered during the project that impacted the schedule were

communicated to the Board, management, and staff using various methods.

Cost Management 

Effective cost management includes developing a budget to controlspending and monitoring

expensesthroughout a project’slifecycle. FCA has an effective processfor managing IT

expenses by cost center and object class. Currently, costs associated with the IT

Infrastructure Project are on track with the 2008‐2013 IRM budget, large project action

plans, and decision memorandum supporting the project. However, we identified some

discrepanciesin the project costs published in the 2008‐2013 IRM Plan.

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IT project budgets were developed by project managers and incorporated into the Agency’s

annual IRM Plan. The CIO and an IT Specialist coordinated the development of the IRM Plan.

The IRMOC evaluated and ranked projects, and approved the 2008‐2013 IRM Plan which was

forwarded to the Chief Executive Officer. The IRM Plan feeds directly into the overall Agency

budget. The adopted budget and expenses are monitored throughout the fiscal year by cost

center and object class. The Finance Team provides periodic financial analysis and reportsto

offices and the Board comparing the budget to actual expenses.

In our comparison of detailed project estimatesto the published 2008‐2013 IRM Plan, we

observed two instances where the Project Cost Detail did not reconcile with the IRM Plan.

The Project Cost Detailspanning six yearsfor the Infrastructure Review Project totaled

$2,561,985, but the published IRM Plan totaled $2,285,985. The Project Cost Detailspanning

six yearsfor the Workflow Integration Project totaled $760,480, but the published IRM Plan

totaled $820,480. We learned there were changesto the Project Cost Detail in both of these

projects and the respective tables were not “refreshed” causing the misstatement in the

2008‐2013 IRM Plan. Although these errors would not have changed the outcome of the IT

Infrastructure Project, the Agency needsto ensure that costs are accurately reported in the

IRM Plan to support informed decisions.

In addition to the IRM Plan, the project manager creates a more refined budget when

developing the large project action plan that includes estimated manpower and direct

expenses exceeding $5,000. The Agency uses TRS to monitor hours devoted to projects, but

does not formally track direct expensesfor individual projects. In addition to tracking the

budget by cost center and object class, we suggest the Agency consider tracking budgets and

expenses associated with large projects and periodically report theirstatusto the IRMOC.

Over the long term, the Agency should realize costsavings as a result of the new IT

infrastructure because the new IT infrastructure costslessin both direct dollars and man

hoursto maintain than the legacy IT infrastructure. In addition to costsavings, the Agency

benefitsfrom modern technology which should enhance employee productivity and the

Agency’s ability to retain and recruit technology staff.

Agreed‐upon Action:

1.	 The OMS will develop a quality assurance processfor IRM Plansthat includes

verification of estimated project costs presented within the IRM Plan.

Communications 

Varioustypes of communication should be performed throughout the project and include

senior managers, project team members, and stakeholders. The FCA developed and

conducted a comprehensive communicationsstrategy for the IT Infrastructure Project.

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OMS provided staff and management with their plansfor the IT infrastructure transition,

reasonsfor the changesin IT infrastructure, anticipated benefits of the changes, and periodic

status updates. OMS communicationsincluded:

•	 various briefingsfor the FCA Board on the status of the IT Infrastructure Project;

•	 monthly briefingsto the IRMOC;

•	 utilizing a pilot group of usersthroughout the FCA to evaluate components of the

new IT infrastructure and inform their respective offices of the pending progress;

•	 OMS monthly statusreports and seniorstaff meetings;

•	 TT statusreportsto the CIO and IRMOC;

•	 CIO briefingsto individual offices; and

•	 several FCA News Flash and FCA This Week articlesto inform staff and management

of progress and responsibilitiesfor preparing for the IT infrastructure transition.

There was constant communication among the team using various methods. In addition to

daily contact, the team had weekly project meetingsthat included the CIO, project

managers,security officer, and key technicalstaff.

Quality Assurance 

Quality assurance ensuresthat the project resultsin deliverablesthat meetstakeholder

needs and expectations. FCA used varioustechniquesto ensure quality was achieved during

the IT Infrastructure Projectsuch as employing a pilot of the proposed IT infrastructure,

developing test plans, and performing testing throughout the project.

To ensure quality assurance was achieved, the Agency utilized a group of employees

comprised of usersthroughout the Agency to test and evaluate the proposed IT

infrastructure. These pilot users were tasked with evaluating new notebooks, a proposed

operating system, applications, and new tools. This was an effective way of gaining user

support while testing significant changesto the IT infrastructure. In addition, the pilot users

determined whether the proposed changes were effective and efficient in their respective

work environments. The pilot for the proposed IT infrastructure was an effective strategy

that established the proof of concept for the proposed IT infrastructure and ensured user

needs were met.

The TT developed test plansfor the client notebook configuration, network infrastructure,

field office IT infrastructure, unified messaging, and office communications. In addition, test

plans will be developed for the application and database phase jointly by the system sponsor

and the AT. Technology specialists were also responsible for testing the new IT

infrastructure. Issuesidentified during testing were ranked for criticality then prioritized,

tracked, and addressed.

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Performing a review of three key Agency work processes complemented the IT infrastructure

review and pilot. The goal of implementing more efficient and effective work processes

through redesigned workflow and a new IT infrastructure have the benefit of maximizing

employee productivity.

Risk Management 

All projects are subject to risksthat can cause a project to be delayed, exceed budget, or fail.

Risks must be identified, monitored, and managed throughout large projectsto ensure

success of the project. The FCA managed risks during the project by performing a risk

assessment, monitoring risksthroughout the project, and contracting for an independent

review of the implementation plan.

The OMS completed a risk assessment on October 24, 2007, for the IT Infrastructure Rollout

Project. Thisrisk assessment identified and evaluated potential risksto the project. Risk

mitigation strategies and contingency plans were considered for identified risks. One of the

primary risksidentified by OMS wasthe consolidation of field office network equipment in

McLean. To mitigate the risk of a single point of failure, redundancy was built in using the

Emergency Operations Center and backup data lines. OMS also identified lack of acceptance

by Agency users as a concern. Thisrisk was mitigated with a comprehensive

communications and training strategy. Other risks were also identified and mitigation

strategies were considered.

The project managers and CIO actively monitored the project for potential risks and altered

strategies when necessary. For example, the project managers adjusted the schedule as

necessary when the receipt of notebooks was delayed.

The Agency contracted with a leading IT research and advisory firm to perform an

independent verification and validation of the project plan. The results of thisreview were

favorable and stated, “The implementation plan, results of the pilotstudy, and supporting

documents all indicate that proper planning was conducted for this migration.”

Other risk management techniques utilized by the Agency included using a phased approach

and a pilot. A phased approach was used to minimize risk and enhance projectsuccess by

breaking the project into distinct components with clear deliverables. The pilot confirmed

the proposed IT infrastructure would provide the Agency with improved communications,

collaboration, data access, and search capabilities while simplifying maintenance for IT staff.

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ACRONYMS AND ABBREVIATIONS 

Agency Farm Credit Administration

AT Applications Team

C&A Certification and Accreditation

CFO Chief Financial Officer and Director of the Office of Management Services

CIO Chief Information Officer

FCA Farm Credit Administration

IRM Information Resources Management

IRMOC Information Resources Management Operations Committee

IT Information Technology

OIG Farm Credit Administration’s Office of Inspector General

OMS Office of Management Services

PDA Personal Digital Assistant

TRS Time Recording System

TT Technology Team

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REPORT 

Fraud | Waste | Abuse | Mismanagement

FARM CREDIT ADMINISTRATION
 

OFFICE OF INSPECTOR GENERAL
 

• Phone: Toll Free (800) 437‐7322; (703) 883‐4316
 

• Fax:	 (703) 883‐4059
 

• E‐mail:	 fca‐ig‐hotline@rcn.com

•	 Mail: Farm Credit Administration
 

Office of Inspector General
 

1501 Farm Credit Drive
 

McLean, VA 22102‐5090
 

FARM CREDIT ADMINISTRATION ♦ OFFICE OF INSPECTOR GENERAL 12