In Part I, complete Sections A, B, C, and D for all capital assets (IT and non-IT). Complete Sections E and F for IT capital assets.
The following series of questions are to be completed for all investments.
I.
A. 1. Date of Submission:
2007-09-10
I.
A. 2. Agency:
018
I.
A. 3. Bureau:
45
I.
A. 4. Name of this Capital Asset:
(short
text - 250 characters)
Federal
Student Aid Financial Management System (FSA FMS)
I.
A. 5. Unique Project (Investment) Identifier:
For
IT investment only, see section 53. For all other, use agency ID system.
018-45-01-01-01-1060-00
I.
A. 6. What kind of investment will this be in FY2009?
Please
NOTE: Investments moving to O&M in FY2009, with Planning/Acquisition
activities prior to FY2009 should not select O&M. These investments
should indicate their current status.
Mixed
Life Cycle
I.
A. 7. What was the first budget year this investment was submitted to OMB?
FY2001
or earlier
I.
A. 8. Provide a brief summary and justification for this investment,
including a brief description of how this, closes in part or in whole, an
identified agency performance gap:
(long
text - 2500 characters)
Utilizing
Oracle Federal Financials, FMS is the single point of financial information
by institution, integrating transactions both from the FSA feeder systems
as well as from the Grants Administration and Payment System (GAPS).
Accordingly, FMS provides consolidated data to support key management
analysis and is the only source within the Department of Education to
obtain a comprehensive financial picture of an institution across all FSA
programs. FMS consolidates and manages all FSA program transactions from
FSA's feeder systems (e.g., FFEL, Direct Loan, Pell, LEAP/SLEAP, and
Campus-based transactions). The feeders interface functional transactions
to FMS where they are translated to the appropriate accounting. It
facilitates reconciliation and internal program management and reporting,
and large volumes of payment processing. FMS tracks and manages the payment
processing for direct loan originations and consolidations by GAPS and
processes refunds to borrowers for overpaid loans. Through highly
customized extensions, tightly integrated with the Oracle sub-ledgers, FMS
processes large volumes of payments to the lender and guarantee agency
communities. It receives electronic invoices and advice of fees payable to
Education, performs complex custom validations and reasonability checks to
minimize erroneous payments, and processes the transactions through Oracle
sub-ledgers to generate Treasury payment files and accounting transactions.
The accounting transactions are, in turn, summarized and sent to the FMSS
core financial management system for external financial reporting.FMS
serves a mission-critical function as a FFEL program front-end payment
system, for reconciliation to the FSA feeder systems, for more detailed
internal program management reporting, and for additional levels of system
controls. However, FMS does not fulfill the central functions of a JFMIP
core financial management systems. FMSS, not FMS, produces all external
financial reports, such as the financial statements, FACTS I and FACTS II,
and the SF224. In addition, FMSS serves as the source for all budget
funding transactions (appropriation, apportionment, and allotment data),
establishing the budget authority for the Department's financial management
systems.
I.
A. 9. Did the Agency's Executive/Investment Committee approve this request?
yes
I.
A. 9. a. If "yes," what was the date of this approval?
2007-08-30
I.
A. 10. Did the Project Manager review this Exhibit?
yes
Name
(short
text - 250 characters)
Phone
Number
(short
text - 250 characters)
E-mail
(short
text - 250 characters)
I. A. 11. a. What is the current FAC-P/PM certification level of the project/program manager?
I.
A. 12. Has the agency developed and/or promoted cost effective,
energy-efficient and environmentally sustainable techniques or practices
for this project?
no
I.
A. 12. a. Will this investment include electronic assets (including
computers)?
yes
I.
A. 12. b. Is this investment for new construction or major retrofit of a
Federal building or facility? (answer applicable to non-IT assets only)
no
I. A. 12. b. 1. If "yes," is an ESPC or UESC being used to help fund this investment?
I. A. 12. b. 2. If "yes," will this investment meet sustainable design principles?
I. A. 12. b. 3. If "yes," is it designed to be 30% more energy efficient than relevant code?
I.
A. 13. Does this investment directly support one of the PMA initiatives?
yes
I.
A. 13. a. If "yes," check all that apply:
Financial
Performance
Expanded
E-Government
Eliminating
Improper Payments
I.
A. 13. b. Briefly and specifically describe for each selected how this
asset directly supports the identified initiative(s)? (e.g. If E-Gov is
selected, is it an approved shared service provider or the managing
partner?)
(medium
text - 500 characters)
FMS
facilitates the secure automated payment processing for all FSA programs.
The FMS Form 2000 process for guarantee agencies and the FMS LaRS process
for lenders/servicers provide reporting and payment tools to the community.
The FMS Form 2000 was awarded the e-Gov award for best in business
practice. These initiatives also support the President's Management Agenda (PMA)
by reducing cumbersome business processes and reducing cost.
I.
A. 14. Does this investment support a program assessed using the Program
Assessment Rating Tool (PART)? (For more information about the PART, visit
www.whitehouse.gov/omb/part.)
no
I. A. 14. a. If "yes," does this investment address a weakness found during the PART review?
I.
A. 14. b. If "yes," what is the name of the PARTed Program?
(short
text - 250 characters)
I. A. 14. c. If "yes," what PART rating did it receive?
I.
A. 15. Is this investment for information technology?
yes
I.
A. 16. What is the level of the IT Project? (per CIO Council PM Guidance)
Level
1 - Projects with low-to-moderate complexity and risk. Example:
Bureau-level project such as a stand-alone information system that has low-
to-moderate complexity and risk.
Level 2 - Projects with high complexity and/or risk which are critical to
the mission of the organization. Examples: Projects that are part of a
portfolio of projects/systems that impact each other and/or impact mission
activities. Department-wide projects that impact cross-organizational
missions, such as an agency-wide system integration that includes large
scale Enterprise Resource Planning (e.g., the DoD Business Mgmt
Modernization Program).
Level 3 - Projects that have high complexity, and/or risk, and have
government-wide impact. Examples: Government-wide initiative (E-GOV,
President's Management Agenda). High interest projects with Congress, GAO,
OMB, or the general public. Cross-cutting initiative (Homeland Security).
Level
2
I.
A. 17. What project management qualifications does the Project Manager
have? (per CIO Council's PM Guidance):
(1)
Project manager has been validated as qualified for this investment;(2)
Project manager qualification is under review for this investment;(3)
Project manager assigned to investment, but does not meet requirements;(4)
Project manager assigned but qualification status review has not yet
started;(5) No Project manager has yet been assigned to this investment
(1)
Project manager has been validated as qualified for this investment
I.
A. 18. Is this investment identified as "high risk" on the Q4-FY
2007 agency high risk report (per OMB Memorandum M-05-23)?
yes
I.
A. 19. Is this a financial management system?
yes
I.
A. 19. a. If "yes," does this investment address a FFMIA
compliance area?
yes
I.
A. 19. a. 1. If "yes," which compliance area
(short
text - 250 characters)
Compliance
with all three: Federal accounting standards, USSGL at transaction level,
and JFMIP requirements
I.
A. 19. a. 2. If "no," what does it address?
(medium
text - 500 characters)
I.
A. 19. b. If "yes," please identify the system name(s) and system
acronym(s) as reported in the most recent financial systems inventory
update required by Circular A-11 section 52
(long
text - 2500 characters)
Federal
Student Aid Financial Management System (FSA FMS)
I.
A. 20. a. Hardware
0
I.
A. 20. b. Software
7
I.
A. 20. c. Services
93
I.
A. 20. d. Other
0
I.
A. 21. If this project produces information dissemination products for the
public, are these products published to the Internet in conformance with
OMB Memorandum 05-04 and included in your agency inventory, schedules and
priorities?
yes
I.
A. 22. a. Name
(short
text - 250 characters)
I.
A. 22. b. Phone Number
(short
text - 250 characters)
I.
A. 22. c. Title
(short
text - 250 characters)
I.
A. 22. d. E-mail
(short
text - 250 characters)
I.
A. 23. Are the records produced by this investment appropriately scheduled
with the National Archives and Records Administration's approval?
yes
I.
A. 24. Does this investment directly support one of the GAO High Risk
Areas?
Question
24 must be answered by all Investments:
no
I.
B. 1. Provide the total estimated life-cycle cost for this investment by
completing the following table. All amounts represent budget authority in
millions, and are rounded to three decimal places. Federal personnel costs
should be included only in the row designated "Government FTE
Cost," and should be excluded from the amounts shown for
"Planning," "Full Acquisition," and
"Operation/Maintenance." The "TOTAL" estimated annual
cost of the investment is the sum of costs for "Planning,"
"Full Acquisition," and "Operation/Maintenance." For
Federal buildings and facilities, life-cycle costs should include long term
energy, environmental, decommissioning, and/or restoration costs. The costs
associated with the entire life-cycle of the investment should be included
in this report.
Note:
For the cross-agency investments, this table should include all funding
(both managing and partner agencies).
Government FTE Costs should not be included as part of the TOTAL
represented.
|
I.
B. 2. Will this project require the agency to hire additional FTE's?
no
I.
B. 2. a. If "yes," How many and in what year?
(medium
text - 500 characters)
I.
B. 3. If the summary of spending has changed from the FY2008 President's
budget request, briefly explain those changes.
(long
text - 2500 characters)
I.
C. 1. Complete the table for all (including all non-Federal) contracts
and/or task orders currently in place or planned for this investment. Total
Value should include all option years for each contract. Contracts and/or
task orders completed do not need to be included.
SIS
- Share in Services contract; ESPC - Energy savings performance contract ;
UESC - Utility energy efficiency service contract; EUL - Enhanced use lease
contract; N/A - no alternative financing used.
(Character Limitations: Contract or Task Order Number - 250 Characters;
Type of Contract/Task Order - 250 Characters; Name of CO - 250 Characters;
CO Contact Information - 250 Characters)
|
I.
C. 2. If earned value is not required or will not be a contract requirement
for any of the contracts or task orders above, explain why:
(long
text - 2500 characters)
EDS
Task Order #2 (All Years) - Operations was awarded with pre-priced option
years prior to the EVM requirement - also EVM is not required for EVM
Oracle Enterprise Licenses (includes Financials FMS Portion Only) -All
Years - are software license renewals and EVM would not apply. Security
Support (FMS Portion) does not contain development and EVM would not apply.
I.
C. 3. Do the contracts ensure Section 508 compliance?
yes
I.
C. 3. a. Explain Why:
(medium
text - 500 characters)
Oracle
Financials 11.5.10 is 508 compliant. In addition, all new task orders
include a clause requiring 508 compliance of all new system changes.
I.
C. 4. Is there an acquisition plan which has been approved in accordance
with agency requirements?
yes
I.
C. 4. a. If "yes," what is the date?
2006-08-01
I. C. 4. b. If "no," will an acquisition plan be developed?
I.
C. 4. b. 1. If "no," briefly explain why:
(medium
text - 500 characters)
In order to successfully address this area of the exhibit 300, performance goals must be provided for the agency and be linked to the annual performance plan. The investment must discuss the agency's mission and strategic goals, and performance measures (indicators) must be provided. These goals need to map to the gap in the agency's strategic goals and objectives this investment is designed to fill. They are the internal and external performance benefits this investment is expected to deliver to the agency (e.g., improve efficiency by 60 percent, increase citizen participation by 300 percent a year to achieve an overall citizen participation rate of 75 percent by FY 2xxx, etc.). The goals must be clearly measurable investment outcomes, and if applicable, investment outputs. They do not include the completion date of the module, milestones, or investment, or general goals, such as, significant, better, improved that do not have a quantitative measure.
I.
D. 1. Table 1. Performance Information Table
In
order to successfully address this area of the exhibit 300, performance
goals must be provided for the agency and be linked to the annual
performance plan. The investment must discuss the agency's mission and
strategic goals, and performance measures (indicators) must be provided.
These goals need to map to the gap in the agency's strategic goals and
objectives this investment is designed to fill. They are the internal and
external performance benefits this investment is expected to deliver to the
agency (e.g., improve efficiency by 60 percent, increase citizen
participation by 300 percent a year to achieve an overall citizen
participation rate of 75 percent by FY 2xxx, etc.). The goals must be
clearly measurable investment outcomes, and if applicable, investment
outputs. They do not include the completion date of the module, milestones,
or investment, or general goals, such as, significant, better, improved
that do not have a quantitative measure.
Agencies must use the following table to report performance goals and
measures for the major investment and use the Federal Enterprise
Architecture (FEA) Performance Reference Model (PRM). Map all Measurement
Indicators to the corresponding "Measurement Area" and
"Measurement Grouping" identified in the PRM. There should be at
least one Measurement Indicator for each of the four different Measurement
Areas (for each fiscal year). The PRM is available at www.egov.gov. The
table can be extended to include performance measures for years beyond FY
2009.
|
In
order to successfully address this area of the business case, each question
below must be answered at the system/application level, not at a program or
agency level. Systems supporting this investment on the planning and
operational systems security tables should match the systems on the privacy
table below. Systems on the Operational Security Table must be included on
your agency FISMA system inventory and should be easily referenced in the
inventory (i.e., should use the same name or identifier).
For existing Mixed-Life Cycle investments where enhancement, development,
and/or modernization is planned, include the investment in both the
"Systems in Planning" table (Table 3) and the "Operational Systems" table
(Table 4). Systems which are already operational, but have enhancement,
development, and/or modernization activity, should be included in both
Table 3 and Table 4. Table 3 should reflect the planned date for the system
changes to be complete and operational, and the planned date for the
associated C&A update. Table 4 should reflect the current status of the
requirements listed. In this context, information contained within Table 3
should characterize what updates to testing and documentation will occur
before implementing the enhancements; and Table 4 should characterize the
current state of the materials associated with the existing system.
All systems listed in the two security tables should be identified in the
privacy table. The list of systems in the "Name of System" column of the
privacy table (Table 8) should match the systems listed in columns titled
"Name of System" in the security tables (Tables 3 and 4). For the Privacy
table, it is possible that there may not be a one-to-one ratio between the
list of systems and the related privacy documents. For example, one PIA
could cover multiple systems. If this is the case, a working link to the
PIA may be listed in column (d) of the privacy table more than once (for
each system covered by the PIA).
I. E. 1. Have the IT security costs for the system(s) been identified and integrated into the overall costs of the investment?
I. E. 1. a. If "yes," provide the "Percentage IT Security" for the budget year:
I. E. 2. Is identifying and assessing security and privacy risks a part of the overall risk management effort for each system supporting or part of this investment?
I.
E. 3. Systems in Planning and Undergoing Enhancement(s) – Security Table:
The
questions asking whether there is a PIA which covers the system and whether
a SORN is required for the system are discrete from the narrative fields.
The narrative column provides an opportunity for free text explanation why
a working link is not provided. For example, a SORN may be required for the
system, but the system is not yet operational. In this circumstance, answer
"yes" for column (e) and in the narrative in column (f), explain that
because the system is not operational the SORN is not yet required to be
published.
|
I. E. 4. Operational Systems - Security:
|
I. E. 5. Have any weaknesses related to any of the systems part of or supporting this investment been identified by the agency or IG?
I. E. 5. a. If "yes," have those weaknesses been incorporated into the agency's plan of action and milestone process?
I. E. 6. Indicate whether an increase in IT security funding is requested to remediate IT security weaknesses?
I.
E. 6. a. If "yes," specify the amount, provide a general
description of the weakness, and explain how the funding request will
remediate the weakness.
(long
text - 2500 characters)
I.
E. 7. How are contractor security procedures monitored, verified, and
validated by the agency for the contractor systems above?
(long
text - 2500 characters)
I.
E. 8. Planning & Operational Systems - Privacy Table:
Details
for Text Options:
Column (d): If yes to (c), provide the link(s) to the publicly posted
PIA(s) with which this system is associated. If no to (c), provide an
explanation why the PIA has not been publicly posted or why the PIA has not
been conducted.
Column (f): If yes to (e), provide the link(s) to where the current and up
to date SORN(s) is published in the federal register. If no to (e), provide
an explanation why the SORN has not been published or why there isn't a
current and up to date SORN.
Note: Links must be provided to specific documents not general privacy
websites.
|
In order to successfully address this area of the business case and capital asset plan you must ensure the investment is included in the agency's EA and Capital Planning and Invesment Control (CPIC) process, and is mapped to and supports the FEA. You must also ensure the business case demonstrates the relationship between the investment and the business, performance, data, services, application, and technology layers of the agency's EA.
I.
F. 1. Is this investment included in your agency's target enterprise
architecture?
yes
I.
F. 1. a. If "no," please explain why?
(long
text - 2500 characters)
I.
F. 2. Is this investment included in the agency's EA Transition Strategy?
yes
I.
F. 2. a. If "yes," provide the investment name as identified in
the Transition Strategy provided in the agency's most recent annual EA
Assessment.
(medium
text - 500 characters)
Financial
Management System
I.
F. 2. b. If "no," please explain why?
(long
text - 2500 characters)
I.
F. 3. Is this investment identified in a completed (contains a target
architecture) and approved segment architecture?
yes
I.
F. 3. a. If "yes," provide the name of the segment architecture.
(medium
text - 500 characters)
Loans
Segment Architecture
I.
F. 4. Service Component Reference Model (SRM) Table :
Identify
the service components funded by this major IT investment (e.g., knowledge
management, content management, customer relationship management, etc.).
Provide this information in the format of the following table. For detailed
guidance regarding components, please refer to http://www.egov.gov.
a. Use existing SRM Components or identify as "NEW". A "NEW" component is
one not already identified as a service component in the FEA SRM.
b. A reused component is one being funded by another investment, but being
used by this investment. Rather than answer yes or no, identify the reused
service component funded by the other investment and identify the other
investment using the Unique Project Identifier (UPI) code from the OMB Ex
300 or Ex 53 submission.
c. 'Internal' reuse is within an agency. For example, one agency within a
department is reusing a service component provided by another agency within
the same department. 'External' reuse is one agency within a department
reusing a service component provided by another agency in another
department. A good example of this is an E-Gov initiative service being
reused by multiple organizations across the federal government.
d. Please provide the percentage of the BY requested funding amount used
for each service component listed in the table. If external, provide the
percentage of the BY requested funding amount transferred to another agency
to pay for the service. The percentages in this column can, but are not
required to, add up to 100%.
|
I.
F. 5. Table 1. Technical Reference Model (TRM) Table:
To
demonstrate how this major IT investment aligns with the FEA Technical
Reference Model (TRM), please list the Service Areas, Categories,
Standards, and Service Specifications supporting this IT investment.
a. Service Components identified in the previous question should be entered
in this column. Please enter multiple rows for FEA SRM Components supported
by multiple TRM Service Specifications
b. In the Service Specification field, agencies should provide information
on the specified technical standard or vendor product mapped to the FEA TRM
Service Standard, including model or version numbers, as appropriate.
|
I.
F. 6. Will the application leverage existing components and/or applications
across the Government (i.e., FirstGov, Pay.Gov, etc)?
no
I.
F. 6. a. If "yes," please describe.
(long
text - 2500 characters)
Part II should be completed only for investments identified as "Planning" or "Full Acquisition," or "Mixed Life-Cycle" investments in response to Question 6 in Part I, Section A above
In selecting the best capital asset, you should identify and consider at least three viable alternatives, in addition to the current baseline, i.e., the status quo. Use OMB Circular A-94 for all investments and the Clinger Cohen Act of 1996 for IT investments to determine the criteria you should use in your Benefit/Cost Analysis.
II.
A. 1. Did you conduct an alternatives analysis for this project?
yes
II.
A. 1. a. If "yes," provide the date the analysis was completed?
2007-09-02
II. A. 1. b. If "no," what is the anticipated date this analysis will be completed?
II.
A. 1. c. If no analysis is planned, please briefly explain why:
(medium
text - 500 characters)
II.
A. 2. Use the results of your alternatives analysis to complete the
following table:
(Character
Limitations: Alternative Analyzed - 250 characters; Description of
Alternative - 500 Characters)
|
II.
A. 3. Which alternative was selected by the Agency's Executive/Investment
Committee and why was it chosen?
(long
text - 2500 characters)
Alternative
#1 - This is the most appropriate option for Federal Student Aid. This
option provides the strongest internal controls and provides consolidated
financial reporting for Federal Student Aid programs. Although the other
options are viable, they would increase the risk to Federal Student Aid's
portfolio by decentralizing the functionality.
II.
A. 4. What specific qualitative benefits will be realized?
(long
text - 2500 characters)
This
option will allow Federal Student Aid Operations to maintain consolidated
financial reporting while implementing requirements that are expected to
strengthen controls, improve customer satisfaction, and recognize
processing efficiencies.
II.
A. 5. Will the selected alternative replace a legacy system in-part or
in-whole?
no
II. A. 5. a. If "yes," are the migration costs associated with the migration to the selected alternative included in this investment, the legacy investment, or in a separate migration investment?
II. A. 5. b. Table 1. If "yes," please provide the following information:
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You should have performed a risk assessment during the early planning and initial concept phase of this investment's life-cycle, developed a risk-adjusted life-cycle cost estimate and a plan to eliminate, mitigate or manage risk, and be actively managing risk throughout the investment's life-cycle.
II.
B. 1. Does the investment have a Risk Management Plan?
yes
II.
B. 1. a. If "yes," what is the date of the plan?
2007-03-31
II.
B. 1. b. Has the Risk Management Plan been significantly changed since last
year's submission to OMB?
no
II.
B. 1. c. If "yes," describe any significant changes:
(long
text - 2500 characters)
II. B. 2. If there currently is no plan, will a plan be developed?
II. B. 2. a. If "yes," what is the planned completion date?
II.
B. 2. b. If "no," what is the strategy for managing the risks?
(long
text - 2500 characters)
II.
B. 3. Briefly describe how investment risks are reflected in the life cycle
cost estimate and investment schedule:
(long
text - 2500 characters)
A
risk assessment has been completed for this investment. Potential risks
have been identified and the impact, probability, and mitigation strategy
for each risk has been incorporated into the life cycle cost estimate and
investment schedule.
EVM is required only on DME portions of investments. For mixed lifecycle investments, O&M milestones should still be included in the table (Comparison of Initial Baseline and Current Approved Baseline). This table should accurately reflect the milestones in the initial baseline, as well as milestones in the current baseline.
II.
C. 1. Does the earned value management system meet the criteria in ANSI/EIA
Standard - 748?
yes
II.
C. 2. Is the CV or SV greater than 10%?
yes
II.
C. 2. a. If "yes," was it the CV or SV or both ?
CV
II.
C. 2. b. If "yes," explain the causes of the variance:
(long
text - 2500 characters)
The
positive cost variance of 14.13% in July is due to the obligation of
incentive money that has not been earned, disincentive money that reduces
the monthly billings, and the restructuring and re-sequencing of work as a
result of the continuing resolution.
II.
C. 2. c. If "yes," describe the corrective actions:
(long
text - 2500 characters)
A
portion of the unearned incentive and the disincentive money will be
de-obligated from the task order and used to increase the maintenance
capacity. This maintenance activity will run in parallel from September
through December 2007.
II.
C. 3. Has the investment re-baselined during the past fiscal year?
yes
II.
C. 3. a. If "yes," when was it approved by the agency head?
2007-07-25
II.
C. 4. Comparison of Initial Baseline and Current Approved Baseline
Complete
the following table to compare actual performance against the current
performance baseline and to the initial performance baseline. In the
Current Baseline section, for all milestones listed, you should provide
both the baseline and actual completion dates (e.g., "03/23/2003"/
"04/28/2004") and the baseline and actual total costs (in $ Millions). In
the event that a milestone is not found in both the initial and current
baseline, leave the associated cells blank. Note that the 'Description of Milestone'
and 'Percent Complete' fields are required. Indicate '0' for any milestone
no longer active. (Character Limitations: Description of Milestone - 500
characters)
|
Part III should be completed only for investments identified as "Operation and Maintenance" (Steady State) in response to Question 6 in Part I, Section A above.
You should have performed a risk assessment during the early planning and initial concept phase of this investment's life-cycle, developed a risk-adjusted life-cycle cost estimate and a plan to eliminate, mitigate or manage risk, and be actively managing risk throughout the investment's life-cycle.
III. A. 1. Does the investment have a Risk Management Plan?
III. A. 1. a. If "yes," what is the date of the plan?
III. A. 1. b. Has the Risk Management Plan been significantly changed since last year's submission to OMB?
III.
A. 1. c. If "yes," describe any significant changes:
(long
text - 2500 characters)
III. A. 2. If there currently is no plan, will a plan be developed?
III. A. 2. a. If "yes," what is the planned completion date?
III.
A. 2. b. If "no," what is the strategy for managing the risks?
(long
text - 2500 characters)
III. B. 1. Was operational analysis conducted?
III. B. 1. a. If "yes," provide the date the analysis was completed.
III.
B. 1. b. If "yes," what were the results?
(long
text - 2500 characters)
III.
B. 1. c. If "no," please explain why it was not conducted and if
there are any plans to conduct operational analysis in the future:
(long
text - 2500 characters)
(Character Limitations: Description of Milestone - 250 Characters)
III. B. 2. a. What costs are included in the reported Cost/Schedule Performance information (Government Only/Contractor Only/Both)?
III. B. 2. b. Comparison of Planned and Actual Cost
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Part IV should be completed only for investments identified as an E-Gov initiative, an Line of Business (LOB) Initiative, or a Multi-Agency Collaboration effort., selected the "Multi-Agency Collaboration" choice in response to Question 6 in Part I, Section A above. Investments identified as "Multi-Agency Collaboration" will complete only Parts I and IV of the exhibit 300.
Multi-agency Collaborations, such as E-Gov and LOB initiatives, should develop a joint exhibit 300.
IV.
A. 1. Stakeholder Table
As
a joint exhibit 300, please identify the agency stakeholders. Provide the
partner agency and partner agency approval date for this joint exhibit 300.
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IV.
A. 2. Partner Capital Assets within this Investment
Provide
the partnering strategies you are implementing with the participating
agencies and organizations. Identify all partner agency capital assets
supporting the common solution (section 300.7); Managing Partner capital
assets should also be included in this joint exhibit 300. These capital
assets should be included in the Summary of Spending table of Part I,
Section B. All partner agency migration investments (section 53.4) should
also be included in this table. Funding contributions/fee-for-service
transfers should not be included in this table. (Partner Agency Asset UPIs
should also appear on the Partner Agency's exhibit 53)
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IV.
A. 3. Partner Funding Strategies ($millions)
For
jointly funded initiative activities, provide in the "Partner Funding
Strategies Table": the name(s) of partner agencies; the UPI of the partner
agency investments; and the partner agency contributions for CY and BY.
Please indicate partner contribution amounts (in-kind contributions should
also be included in this amount) and fee-for-service amounts. (Partner
Agency Asset UPIs should also appear on the Partner Agency's exhibit 53.
For non-IT fee-for-service amounts the Partner exhibit 53 UPI can be left
blank) (IT migration investments should not be included in this table)
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IV. A. 4. Did you conduct an alternatives analysis for this project?
IV. A. 4. a. If "yes," provide the date the analysis was completed?
IV. A. 4. b. If "no," what is the anticipated date this analysis will be completed?
IV.
A. 4. c. If no analysis is planned, please briefly explain why:
(medium
text - 500 characters)
IV. A. 5. Use the results of your alternatives analysis to complete the following table:
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IV.
A. 6. Which alternative was selected by the Initiative Governance process
and why was it chosen?
(long
text - 2500 characters)
IV.
A. 7. What specific qualitative benefits will be realized?
(long
text - 2500 characters)
IV.
A. 8. Table 1. Federal Quantitative Benefits ($millions):
What
specific quantitative benefits will be realized (using current dollars)
Use the results of your alternatives analysis to complete the following
table:
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IV. A. 9. Will the selected alternative replace a legacy system in-part or in-whole?
IV. A. 9. a. If "yes," are the migration costs associated with the migration to the selected alternative included in this investment, the legacy investment, or in a separate migration investment?
IV. A. 9. b. Table 1. If "yes," please provide the following information:
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You should have performed a risk assessment during the early planning and initial concept phase of this investment's life-cycle, developed a risk-adjusted life-cycle cost estimate and a plan to eliminate, mitigate or manage risk, and be actively managing risk throughout the investment's life-cycle.
IV. B. 1. Does the investment have a Risk Management Plan?
IV. B. 1. a. If "yes," what is the date of the plan?
IV. B. 1. b. Has the Risk Management Plan been significantly changed since last year's submission to OMB?
IV.
B. 1. c. If "yes," describe any significant changes:
(long
text - 2500 characters)
IV. B. 2. If there currently is no plan, will a plan be developed?
IV. B. 2. a. If "yes," what is the planned completion date?
IV.
B. 2. b. If "no," what is the strategy for managing the risks?
(long
text - 2500 characters)
You
should also periodically be measuring the performance of operational assets
against the baseline established during the planning or full acquisition
phase (i.e., operational analysis), and be properly operating and
maintaining the asset to maximize its useful life. Operational analysis may
identify the need to redesign or modify an asset by identifying previously
undetected faults in design, construction, or installation/integration,
highlighting whether actual operation and maintenance costs vary
significantly from budgeted costs, or documenting that the asset is failing
to meet program requirements.
EVM is required only on DME portions of investments. For mixed lifecycle
investments, O&M milestones should still be included in the table
(Comparison of Initial Baseline and Current Approved Baseline). This table
should accurately reflect the milestones in the initial baseline, as well
as milestones in the current baseline.
Answer the following questions about the status of this investment. Include
information on all appropriate capital assets supporting this investment
except for assets in which the performance information is reported in a
separate exhibit 300.
IV. C. 1. Are you using EVM to manage this investment?
IV. C. 1. a. If "yes," does the earned value management system meet the criteria in ANSI/EIA Standard - 748?
IV.
C. 1. b. If "no," explain plans to implement EVM:
(long
text - 2500 characters)
IV.
C. 1. c. If "N/A," please provide date operational analysis was
conducted and a brief summary of the results?
(long
text - 2500 characters)
IV.
C. 2. Is the CV% or SV% greater than ± 10%? (CV% = CV/EV x 100; SV% = SV/PV
x 100)
NOT
applicable for capital assets with ONLY O&M.
IV. C. 2. a. If "yes," was it the CV or SV or both ?
IV.
C. 2. b. If "yes," explain the causes of the variance:
(long
text - 2500 characters)
IV.
C. 2. c. If "yes," describe the corrective actions:
(long
text - 2500 characters)
IV.
C. 3. Has the investment re-baselined during the past fiscal year?
Applicable
to ALL capital assets
IV.
C. 3. a. If "yes," when was it approved by the agency head?
Applicable
to ALL capital assets
IV.
C. 4. Comparison of Initial Baseline and Current Approved Baseline
Complete
the following table to compare actual performance against the current
performance baseline and to the initial performance baseline. In the
Current Baseline section, for all milestones listed, you should provide
both the baseline and actual completion dates (e.g., "03/23/2003"/
"04/28/2004") and the baseline and actual total costs (in $ Millions). In
the event that a milestone is not found in both the initial and current
baseline, leave the associated cells blank. Note that the 'Description of
Milestone' and 'Percent Complete' fields are required. Indicate '0' for any
milestone no longer active.
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