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Exhibit 300 (BY2009) for HRSA - BHPr National Practitioner Data Bank (NPDB)/Healthcare Integrity and Protection Data Bank (HIPDB)

PART ONE


OVERVIEW


1. Date of Submission:
2008-02-04
2. Agency:
009
3. Bureau:
15
4. Name of this Capital Asset:
HRSA - BHPr National Practitioner Data Bank (NPDB)/Healthcare Integrity and Protection Data Bank (HIPDB)
5. Unique Project Identifier:
009-15-01-02-01-1010-00
6. What kind of investment will this be in FY2009?
Mixed Life Cycle
7. What was the first budget year this investment was submitted to OMB?
FY2004
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.
The NPDB was designed to protect public health by providing vital information that restricts the ability of incompetent health care practitioners from moving State to State without discovery of previous substandard performance or unprofessional conduct. The NPDB discloses to eligible entities information on medical malpractice payments, adverse clinical privileges and licensure and other adverse actions taken against physicians and dentists by State licensing authorities, hospitals and professional societies. The HIPDB was designed to reduce healthcare fraud & abuse by collecting and disclosing to authorized entities information on health care related civil judgments and criminal convictions, adverse licensure and certification actions, exclusions from health care programs, and other adjudicated actions taken against health care providers, suppliers and practitioners. Both Data Banks must recover all costs through the collection of user fees. Under the current Firm-Fixed Price and Time and Material (T&M) contract, the NPDB-HIPDB system is continuously enhanced to meet legislative and Government initiatives that reasonably fit the architecture; including expanding the database to include additional data elements and/or add new reports and client categories and functional enhancements. As a result of the small percentage of enhancements, and the vast amount of operations & maintenance that are integrated throughout the current NPDB-HIPDB, this program is considered a mixed life-cycle. Therefore, the NPDB-HIPDB IT investment consists of a combination of Development-Modernization-Enhancement (DME) and steady-state (SS) processes. Agency performance gaps don't exist within the NPDB-HIPDB investment because of applied managed processes and periodic reviews ensure that the NPDB-HIPDB operates on track and within budget. Established performance metrics also help ensure that the contractor is motivated to stay within budget and deliver top results. As a result, system users receive higher performance, greater quality and responsiveness.
9. Did the Agency's Executive/Investment Committee approve this request?
yes
9.a. If "yes," what was the date of this approval?
2007-06-26
10. Did the Project Manager review this Exhibit?
yes
11.a. What is the current FAC-P/PM certification level of the project/program manager?
Senior/Expert-level
12. Has the agency developed and/or promoted cost effective, energy-efficient and environmentally sustainable techniques or practices for this project.
yes
12.a. Will this investment include electronic assets (including computers)?
yes
13. Does this investment directly support one of the PMA initiatives?
yes
If yes, select the initiatives that apply:
Initiative Name
Expanded E-Government
13.a. 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?)
This investment directly supports the PMA through the expansion/improvemen t of E-Government. It is considered a HRSA critical applications initiative that meets statutory requirements, & is needed to provide for the health & safety of workers & the public. The primary objective of the information is to improve the quality of health care by promoting patient safety & improving patient protection and promote access to, & appropriate use of, health care information on individuals & organizations.
14. Does this investment support a program assessed using the Program Assessment Rating Tool (PART)?
yes
14.a. If yes, does this investment address a weakness found during the PART review?
yes
14.b. If yes, what is the name of the PARTed program?
2006: HRSA - National Practitioner/Health Integrity Data Banks
14.c. If yes, what rating did the PART receive?
Moderately Effective
15. Is this investment for information technology?
yes
16. What is the level of the IT Project (per CIO Council's PM Guidance)?
Level 2
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
18. Is this investment identified as high risk on the Q4 - FY 2007 agency high risk report (per OMB memorandum M-05-23)?
no
19. Is this a financial management system?
no
19.a. If yes, does this investment address a FFMIA compliance area?
no
19.a.1. If yes, which compliance area:
N/A.
19.a.2. If no, what does it address?
N/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 A11 section 52.
N/A.
20. What is the percentage breakout for the total FY2009 funding request for the following? (This should total 100%)
AreaPercentage
Hardware4
Software0
Services71
Other25
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
22. Contact information of individual responsible for privacy related questions.
NameCaroline Lewis
Phone Number(301) 443-3312
TitleDirector, Division of Policy Review and Coordination
Emailclewis@hrsa.gov
23. Are the records produced by this investment appropriately scheduled with the National Archives and Records Administration's approval?
yes
24. Does this investment directly support one of the GAO High Risk Areas?
yes

SUMMARY OF SPEND


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.

All amounts represent Budget Authority

Note: For the cross-agency investments, this table should include all funding (both managing partner and partner agencies).

Government FTE Costs should not be included as part of the TOTAL represented.
Cost TypePy-1 & Earlier
-2006
PY
2007
CY
2008
BY
2009
Planning Budgetary Resources18.2504.5652.7322.830
Acquisition Budgetary Resources0.0000.0000.0000.000
Maintenance Budgetary Resources54.75014.01812.24011.600
Government FTE Cost11.4723.8803.8803.700
# of FTEs62313131
2. Will this project require the agency to hire additional FTE's?
no
2.a. If "yes," how many and in what year?
N/A
3. If the summary of spending has changed from the FY2008 President's budget request, briefly explain those changes.
No change.

PERFORMANCE


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.
RowFiscal YearStrategic Goal SupportedMeasurement AreaMeasurement GroupingMeasurement IndicatorBaselinePlanned Improvement to the BaselineActual Results
12006S.O. 1.3 - Improve health care quality, safety, cost and valueMission and Business ResultsCollections and ReceivablesDollar amount of unreconciled query fee deposits$31,728Reduce unreconciled deposits to zero$0.00
22006S.O. 1.3 - Improve health care quality, safety, cost and valueCustomer ResultsCustomer ComplaintsRatio of number of complaints by queriers and reporters to Customer Service Center to number of reports and queries processed.0.5%Reduce complaint ratio to 0.25%0 .00001%
32006S.O. 1.3 - Improve health care quality, safety, cost and valueProcesses and ActivitiesCycle TimeTime between query and response4 hoursLess than 2 hoursaverage time is 55 minutes
42006S.O. 1.3 - Improve health care quality, safety, cost and valueTechnologyAvailabilityNumber of hours of non-planned down-time52 for the year02.1 hours (127 minutes)
52007S.O. 1.3 - Improve health care quality, safety, cost and valueMission and Business ResultsUser Fee CollectionAmount of user fees collected20,457,339Increase by 3%18,947,985
62007S.O. 1.3 - Improve health care quality, safety, cost and valueCustomer ResultsResponse TimeAverage time for electronic report processing with notification back to user3.5 hours2.5 hours.4 hours
72007S.O. 1.3 - Improve health care quality, safety, cost and valueProcesses and ActivitiesErrorsPercentage of erroneous disclosure information about individualsbetween .015% and .01%less than .005%.0004%
82007S.O. 1.3 - Improve health care quality, safety, cost and valueTechnologyAvailabilityPercentage of available time of accessible and functioning web sitebetween 94% and 98%more than 99%99.9%
92008S.O. 1.3 - Improve health care quality, safety, cost and valueMission and Business ResultsUser Fee CollectionAmount of user fees collected21,071,059Increase by 3%TBD
102008S.O. 1.3 - Improve health care quality, safety, cost and valueCustomer ResultsResponse TimeAverage time for electronic report processing with notification back to user3.5 hours2.5 hoursTBD
112008S.O. 1.3 - Improve health care quality, safety, cost and valueProcesses and ActivitiesErrorsPercentage of erroneous disclosure information about individualsbetween .015% and .01%less than .005%TBD
122008S.O. 1.3 - Improve health care quality, safety, cost and valueTechnologyAvailabilityPercentage of available time of accessible and functioning web sitebetween 94% and 98%more than 99%TBD
132009S.O. 1.3 - Improve health care quality, safety, cost and valueMission and Business ResultsUser Fee CollectionAmount of user fees collected21,703,190Increase by 3%TBD
142009S.O. 1.3 - Improve health care quality, safety, cost and valueCustomer ResultsResponse TimeAverage time for electronic report processing with notification back to user3.5 hours2.5 hoursTBD
152009S.O. 1.3 - Improve health care quality, safety, cost and valueProcesses and ActivitiesErrorsPercentage of erroneous disclosure information about individualsbetween .015% and .01%less than .005%TBD
162009S.O. 1.3 - Improve health care quality, safety, cost and valueTechnologyAvailabilityPercentage of available time of accessible and functioning web sitebetween 94% and 98%more than 99%TBD
172010S.O. 1.3 - Improve health care quality, safety, cost and valueMission and Business ResultsUser Fee CollectionAmount of user fees collected22,354,285Increase by 3%TBD
182010S.O. 1.3 - Improve health care quality, safety, cost and valueCustomer ResultsResponse TimeAverage time for electronic report processing with notification back to user3.5 hours2.5 hoursTBD
192010S.O. 1.3 - Improve health care quality, safety, cost and valueProcesses and ActivitiesErrorsPercentage of erroneous disclosure information about individualsbetween .015% and .01%less than .005%TBD
202010S.O. 1.3 - Improve health care quality, safety, cost and valueTechnologyAvailabilityPercentage of available time of accessible and functioning web sitebetween 94% and 98%more than 99%TBD
212011S.O. 1.3 - Improve health care quality, safety, cost and valueMission and Business ResultsUser Fee CollectionAmount of user fees collected23,024,913Increase by 3%TBD
222011S.O. 1.3 - Improve health care quality, safety, cost and valueCustomer ResultsResponse TimeAverage time for electronic report processing with notification back to user3.5 hours2.5 hoursTBD
232011S.O. 1.3 - Improve health care quality, safety, cost and valueProcesses and ActivitiesErrorsPercentage of erroneous disclosure information about individualsbetween .015% and .01%less than .005%TBD
242011S.O. 1.3 - Improve health care quality, safety, cost and valueTechnologyAvailabilityPercentage of available time of accessible and functioning web sitebetween 94% and 98%more than 99%TBD
252012S.O. 1.3 - Improve health care quality, safety, cost and valueMission and Business ResultsUser Fee CollectionAmount of user fees collected23,715,660Increase by 3%TBD
262012S.O. 1.3 - Improve health care quality, safety, cost and valueCustomer ResultsResponse TimeAverage time for electronic report processing with notification back to user3.5 hours2.5 hoursTBD
272012S.O. 1.3 - Improve health care quality, safety, cost and valueProcesses and ActivitiesErrorsPercentage of erroneous disclosure information about individualsbetween .015% and .01%less than .005%TBD
282012S.O. 1.3 - Improve health care quality, safety, cost and valueTechnologyAvailabilityPercentage of available time of accessible and functioning web sitebetween 94% and 98%more than 99%TBD
292013S.O. 1.3 - Improve health care quality, safety, cost and valueMission and Business ResultsUser Fee CollectionAmount of user fees collected24,427,129Increase by 3%TBD
302013S.O. 1.3 - Improve health care quality, safety, cost and valueCustomer ResultsResponse TimeAverage time for electronic report processing with notification back to user3.5 hours2.5 hoursTBD
312013S.O. 1.3 - Improve health care quality, safety, cost and valueProcesses and ActivitiesErrorsPercentage of erroneous disclosure information about individualsbetween .015% and .01%less than .005%TBD
322013S.O. 1.3 - Improve health care quality, safety, cost and valueTechnologyAvailabilityPercentage of available time of accessible and functioning web sitebetween 94% and 98%more than 99%TBD

Enterprise Architecture


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 Investment 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.
1. Is this investment included in your agency's target enterprise architecture?
yes
2. Is this investment included in the agency's EA Transition Strategy?
yes
2.a. If yes, provide the investment name as identified in the Transition Strategy provided in the agency's most recent annual EA Assessment.
HRSA National Practitioner Data Bank/Healthcare Integrity Protection DB
3. Is this investment identified in a completed (contains a target architecture) and approved segment architecture?
no
4. 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.whitehouse.gov/omb/egov/.

Component: Use existing SRM Components or identify as NEW. A NEW component is one not already identified as a service component in the FEA SRM.

Reused Name and UPI: 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.

Internal or External Reuse?: 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.

Funding Percentage: Please provide the percentage of the BY requested funding amount used for each service component listed in the table. If external, provide the funding level transferred to another agency to pay for the service.
RowAgency Component NameAgency Component DescriptionService TypeComponentReused Component NameReused UPIInternal or External Reuse?Funding %
1QueryDefines the set of capabilities that support retrieval of records that satisfy specific query selection criteria.SearchQuery  No Reuse35
2Library / StorageDefines the set of capabilities that support document and data warehousing and archiving.Document ManagementLibrary / Storage  No Reuse1
3Knowledge CaptureDefines the set of capabilities that facilitate collection of data and information.Knowledge ManagementKnowledge Capture  No Reuse5
4Knowledge Distribution and DeliveryDefines the set of capabilities that support the transfer of knowledge to the end customer.Knowledge ManagementKnowledge Distribution and Delivery  No Reuse10
5Information RetrievalDefines the set of capabilities that allow access to data and information for use by an organization and its stakeholders.Knowledge ManagementInformation Retrieval  No Reuse2
6Standardized / CannedDefines the set of capabilities that support the use of pre-conceived or pre-written reports.ReportingStandardized / Canned  No Reuse5
7Ad HocDefines the set of capabilities that support the use of dynamic reports on an as needed basis.ReportingAd Hoc  No Reuse5
8Data MartDefines the set of capabilities that support a subset of a data warehouse for a single department or function within an organization.Data ManagementData Mart  No Reuse10
9Program / Project ManagementDefines the set of capabilities that manage and control a particular effort of an organization.Management of ProcessesProgram / Project Management  No Reuse2
10Reservations / RegistrationDefines the set of capabilities that allow electronic enrollment and confirmations for services.Customer Initiated AssistanceReservations / Registration  No Reuse10
5. 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.

FEA SRM Component: 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.

Service Specification: 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.
RowSRM Component>Service AreaService CategoryService StandardService Specification (i.e., vendor and product name)
1QueryService Access and DeliveryAccess ChannelsWeb BrowserVendor: Netscape & Microsoft, Product: Netscape v 7.02, 7.1, or 7.2 and IE v6.0, 6.0 SP1, or 6.0 SP2
2Library / StorageService Platform and InfrastructureDatabase / StorageDatabaseVendor: Oracle, Product: Oracle v10g
3Knowledge CaptureService Access and DeliveryService RequirementsLegislative / ComplianceVendor: SRA, Product: NPDB/HIPDB
4Knowledge Distribution and DeliveryService Access and DeliveryDelivery ChannelsInternetVendor: SRA, Product: NPDB/HIPDB
5Information RetrievalService Access and DeliveryAccess ChannelsWeb BrowserVendor: Netscape & Microsoft, Product: Netscape v 7.02, 7.1, or 7.2 and IE v6.0, 6.0 SP1, or 6.0 SP2
6Standardized / CannedService Access and DeliveryAccess ChannelsWeb BrowserVendor: Netscape & Microsoft, Product: Netscape v 7.02, 7.1, or 7.2 and IE v6.0, 6.0 SP1, or 6.0 SP2
7Ad HocService Access and DeliveryAccess ChannelsWeb BrowserVendor: Netscape & Microsoft, Product: Netscape v 7.02, 7.1, or 7.2 and IE v6.0, 6.0 SP1, or 6.0 SP2
8Data MartService Platform and InfrastructureSupport PlatformsPlatform DependentVendor: SRA, Product: Sun / Unix
9Program / Project ManagementService Access and DeliveryAccess ChannelsWeb BrowserVendor: Netscape & Microsoft, Product: Netscape v 7.02, 7.1, or 7.2 and IE v6.0, 6.0 SP1, or 6.0 SP2
10Reservations / RegistrationService Access and DeliveryAccess ChannelsWeb BrowserVendor: Netscape & Microsoft, Product: Netscape v 7.02, 7.1, or 7.2 and IE v6.0, 6.0 SP1, or 6.0 SP2
11Self-ServiceService Access and DeliveryAccess ChannelsWeb BrowserVendor: Netscape & Microsoft, Product: Netscape v 7.02, 7.1, or 7.2 and IE v6.0, 6.0 SP1, or 6.0 SP2
12Knowledge CaptureService Access and DeliveryAccess ChannelsWeb BrowserVendor: Netscape & Microsoft, Product: Netscape v 7.02, 7.1, or 7.2 and IE v6.0, 6.0 SP1, or 6.0 SP2
13Knowledge Distribution and DeliveryService Access and DeliveryAccess ChannelsWeb BrowserVendor: Netscape & Microsoft, Product: Netscape v 7.02, 7.1, or 7.2 and IE v6.0, 6.0 SP1, or 6.0 SP2
14Self-ServiceService Access and DeliveryDelivery ChannelsInternetVendor: SRA, Product: NPDB/HIPDB
15Reservations / RegistrationService Access and DeliveryDelivery ChannelsInternetVendor: SRA, Product: NPDB/HIPDB
16Program / Project ManagementService Access and DeliveryDelivery ChannelsInternetVendor: SRA, Product: NPDB/HIPDB
17Information RetrievalService Access and DeliveryDelivery ChannelsInternetVendor: SRA, Product: NPDB/HIPDB
18Knowledge CaptureService Access and DeliveryDelivery ChannelsInternetVendor: SRA, Product: NPDB/HIPDB
19Ad HocService Access and DeliveryDelivery ChannelsInternetVendor: SRA, Product: NPDB/HIPDB
20Standardized / CannedService Access and DeliveryDelivery ChannelsInternetVendor: SRA, Product: NPDB/HIPDB
21QueryService Access and DeliveryDelivery ChannelsInternetVendor: SRA, Product: NPDB/HIPDB
22Self-ServiceService Access and DeliveryService RequirementsLegislative / ComplianceVendor: SRA, Product: NPDB/HIPDB
23Reservations / RegistrationService Access and DeliveryService RequirementsLegislative / ComplianceVendor: SRA, Product: NPDB/HIPDB
24Program / Project ManagementService Access and DeliveryService RequirementsLegislative / ComplianceVendor: SRA, Product: NPDB/HIPDB
25Information RetrievalService Access and DeliveryService RequirementsLegislative / ComplianceVendor: SRA, Product: NPDB/HIPDB
26Knowledge Distribution and DeliveryService Access and DeliveryService RequirementsLegislative / ComplianceVendor: SRA, Product: NPDB/HIPDB
27Ad HocService Access and DeliveryService RequirementsLegislative / ComplianceVendor: SRA, Product: NPDB/HIPDB
28Standardized / CannedService Access and DeliveryService RequirementsLegislative / ComplianceVendor: SRA, Product: NPDB/HIPDB
29QueryService Access and DeliveryService RequirementsLegislative / ComplianceVendor: SRA, Product: NPDB/HIPDB
30Data MartService Platform and InfrastructureDelivery ServersWeb ServersVendor: SRA, Product: Apache / Unix based web server
6. Will the application leverage existing components and/or applications across the Government (i.e., FirstGov, Pay.Gov, etc)?
no

PART TWO


RISK


You should perform a risk assessment during the early planning and initial concept phase of the investment's life-cycle, develop 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.

Answer the following questions to describe how you are managing investment risks.
1. Does the investment have a Risk Management Plan?
yes
1.a. If yes, what is the date of the plan?
2007-06-30
1.b. Has the Risk Management Plan been significantly changed since last year's submission to OMB?
no
3. Briefly describe how investment risks are reflected in the life cycle cost estimate and investment schedule:
The NPDB-HIPDB investment receives no appropriations from Congress. The user fees collected are primarily used to operate, maintain, and enhance the NPDB-HIPDB. Previsions in the law allow the Data Banks to upgrade and incorporate new technologies as they occur, or as legislative mandates are imposed on the Data Banks. Therefore, risk, as a result of Life-cycle costs, can indeed increase due to external mandates outside of HHS/HRSA's control during scheduling/enhancement phase. However, the firm-fixed price contract vehicle that is currently in-place strictly controls the costs associated with the system. Contract modifications are reviewed in detail for budgetary purposes and will not be put into place unless the value of the contract modification meets a new system need. Unexpected costs that come from risks associated with the system are discussed and mitigated in the NPDB HIPDB Risk Assessment, NPDB-HIPDB system security plan, and NPDB-HIPDB COOP. During the scheduling phase, release contents are determined. New functionality and System Change Requests (SCRs) for a specific release are selected before release planning begins. At the Configuration Control Board (CCB), the Government and the Contractor assign specific SCRs to the planned release. This phase establishes the overall goals of the release. It is also during this phase that the release schedule is outlined. After this phase, changes may be introduced; however, the overall release goals will remain the same.

COST & SCHEDULE


1. Does the earned value management system meet the criteria in ANSI/EIA Standard 748?
yes
2. Is the CV% or SV% greater than ± 10%?
no
2.b. If yes, explain the variance.
Not applicable
2.c. If yes, what corrective actions are being taken?
Not applicable
3. Has the investment re-baselined during the past fiscal year?
no