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U. S. DEPARTMENT OF JUSTICE

Corrective Action Report

Issue and Milestone Schedule

Date of Submission
First Quarter Update:
Second Quarter Update:
Third Quarter Update:
End of Year Report: 12/02/02

Issue Title

DOJ Financial Systems Compliance

Issue ID

Organization

Department of Justice

Date First
Initiated

02/28/01

Original Target for Completion

On-going

Current Target for Completion

On-going

Actual Date of Completion

On-going

Issue Type (Organization Rating)


Material Nonconformance

Source Title

Management Review and Annual Financial Statement Audits

Date of Source Report

11/30/01

Issue Type (DOJ Rating)

Material Nonconformance

Issue Description

The Department of Justice (Department) audit report on the FY 2000 consolidated financial statements identified the Immigration and Naturalization Service (INS), Federal Bureau of Investigation (FBI), Drug Enforcement Administration (DEA), United States Marshals Service (USMS) , and Federal Prison Industries (FPI)  as not meeting federal accounting standards or systems requirements, and having material weaknesses in system controls/security.  These conditions were identified again in the FY 2001 audits.  Additional and related issues on INS, FPI, and DEA are reported separately under their financial management nonconformances.  The need to address weaknesses cited in the financial statement audits, nonconformances with Office of Management and Budget (OMB) Circular No. A-127, technological changes, and the need to better support critical financial operations and agency programs contribute to the necessity to modernize the Department's financial systems and improve internal controls.  Almost every Department component needs to either implement a new system or is in the final phases of implementing a new system.

The FBI operates a legacy system which significantly limits the capabilities necessary to support the effective and efficient processing of financial management information throughout the Bureau.  The USMS implemented a new financial management system in 1998 at its headquarters office.  However, due to implementation difficulties, the USMS did not migrate its district offices to the system.  INS acquired a new system in 1997 and halted full implementation plans due to concerns as to whether the system would best serve INS' interest.

The Department identified a unified core financial system as one of the ten goals for revamping the Department's management.  Four systems have been identified for replacement in the first phases of this project:  FBI, DEA, INS, and USMS.  Other systems will be replaced as they reach the end of their normal life cycles, or as immediate needs require.  The unified core system will be a commercial off-the-shelf (COTS) Financial Management System product(s) certified by the Joint Financial Management Improvement Program as meeting core federal financial management system requirements.

Milestone 1:  The award of the task order to our project management contractor, Booz-Allen & Hamilton, was delayed from the original target date of February 2002 until April 2002.  To take advantage of procurement efficiencies in the future, additional optional tasks were included in the RFQ, thus delaying its issuance.  The Planning Phase was completed on August 15, 2002.

Milestone 2: Develop consolidated functional and technical requirements for the unified core system, along with a procurement module, for issuance of a solicitation to procure a COTS solution .

Milestone 3: Develop consolidated requirements for Integration and Implementation (I&I) for issuance solicitation.

Milestone 4: Receive and evaluate vendors COTS proposals for award of contract for purchase of COTS software.

Milestone 5: Issue modification to I&I solicitation identifying the selected COTS product.

Milestone 6: Receive and evaluate vendors I&I proposals for specific integration and implementation for the COTS software selected for the Unified Financial Management System (UFMS).

Milestone 7: Develop and conduct COTS acceptance testing with full DOJ pilot simulation.

Milestone 8: Implementation of FBI with COTS software with full operational capability achieved.

Milestones

Original Target Date

Current Target Date

Actual Date of Completion

1. Planning phase, including milestones.

05/30/02

08/15/02

08/15/02

2. Develop requirements for issuance of COTS solicitation.

02/21/03

02/21/03

 

3. Develop requirements for issuance of I&I solicitation.

03/27/03

03/27/03

 

4. Receive/evaluate/award contract for COTS software.

05/30/03

05/30/03

 

5. Issue modification to I&I solicitation.

06/03/03

06/03/03

 

6. Receive/evaluate/award contract for implementation and integration.

08/29/03

08/29/03

 

7. Develop/conduct COTS acceptance testing.

10/17/03

10/17/03

 

8. Implement COTS software in FBI.

10/01/04

10/01/04

 

How We Will Know It Is Fixed

Modern financial systems will be implemented which comply with federal financial system requirements and system dependent audit recommendations will be closed.