| | Exhibit 300 (BY2009) for National Institute of Health (NIH) CIT Central Accounting System (CAS)PART ONE
OVERVIEW
- 1. Date of Submission:
- 2008-02-04
- 2. Agency:
- 009
- 3. Bureau:
- 25
- 4. Name of this Capital Asset:
- NIH CIT Central Accounting System (CAS)
- 5. Unique Project Identifier:
- 009-25-01-01-01-3101-00
- 6. What kind of investment will this be in FY2009?
- Operations and Maintenance
- 7. What was the first budget year this investment was submitted to OMB?
- FY2001 or earlier
- 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 CAS, which was developed in 1978, was reviewed by the NIH and a decision was made to migrate its functionality to the NIH Business System (NBS), a component of the HHS Uniform Financial Management System (UFMS). The CAS is a critical component in the operations of the NBS since it continues to process transactions from the Administrative Data Base (ADB), Central Payroll, Payment Management System (PMS), and Information for Management, Planning, Analysis and Coordination (IMPAC)/eRA. The NBS is a component of the HHS UFMS project which will consolidate many administrative legacy systems within HHS, and improve the financial management of HHS. Please refer to NBS project # 009-25-01-01-01-4601. The CAS project resides in the Division of Enterprise and Custom Applications, Center for Information Technology, NIH. The CAS is a legacy system project that almost thirty years old, and processes accounting and financial transactions for the NIH. It processes data from the ADB, Central Payroll, PMS, IMPAC/eRA. The CAS provides data exchange to the ADB, PMS and IMPAC. Data is extracted from the CAS nightly and made available to the NIH through the NIH Data Warehouse. In the past, the CAS produced a wide range of reports that detail spending within the Agency. These reports are now being generated by the NBS since NBS is now the financial system of record. In addition, financial reports previously generated for the Department of Health and Human Services, the Treasury Department, the Office of Management and Budget, and the Public Health Service are also now being generated by the NBS. The NIH Business System (NBS) will eventually totally replace the CAS. The number of financial transactions being processed by the CAS continues to diminish as modules within the NBS are being deployed. The CAS project has been extended to allow for completion of the NIH NBS. If the CAS is not funded, the NIH will not have an automated means of processing the accounting and financial transactions still originating from the ADB, Payroll, PMS, and IMPAC/eRA systems.
- 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.
- no
- 12.a. Will this investment include electronic assets (including computers)?
- yes
- 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
- 13. Does this investment directly support one of the PMA initiatives?
- yes
- If yes, select the initiatives that apply:
Initiative Name |
---|
Financial Performance |
- 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?)
- The CAS is a key element in implementing the initiative of improving financial performance because it efficiently integrates data from the legacy ADB system, PMS, Payroll, and eRA with the NBS and continued operation of this system is essential to the ongoing operations of the NBS which is a component of the HHS UFMS project which will consolidate many administrative legacy systems within HHS, and improve the financial management of HHS.
- 14. Does this investment support a program assessed using the Program Assessment Rating Tool (PART)?
- no
- 14.a. If yes, does this investment address a weakness found during the PART review?
- no
- 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?
- yes
- 19.a. If yes, does this investment address a FFMIA compliance area?
- yes
- 19.a.1. If yes, which compliance area:
- Supports Federal Accounting Standards
- 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.
- The NIH Central Accounting System (CAS)
- 20. What is the percentage breakout for the total FY2009 funding request for the following? (This should total 100%)
Area | Percentage |
---|
Hardware | 0 | Software | 0 | Services | 73 | Other | 27 |
- 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?
- n/a
- 22. Contact information of individual responsible for privacy related questions.
Name | Karen Pla | Phone Number | 301-402-6201 | Title | NIH Privacy Act Officer | Email | plak@mail.nih.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?
- no
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 Type | Py-1 & Earlier -2006 | PY 2007 | CY 2008 | BY 2009 |
---|
Planning Budgetary Resources | 0.000 | 0.000 | 0.000 | 0.000 | Acquisition Budgetary Resources | 0.000 | 0.000 | 0.000 | 0.000 | Maintenance Budgetary Resources | 7.290 | 0.530 | 0.281 | 0.281 | Government FTE Cost | 0.790 | 0.220 | 0.229 | 0.229 | # of FTEs | 4 | 2 | 2 | 2 |
- 2. Will this project require the agency to hire additional FTE's?
- no
- 3. If the summary of spending has changed from the FY2008 President's budget request, briefly explain those changes.
- Changed to reflect budget submission for 2008 and 2009 and reflect change in FTEs
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.
Row | Fiscal Year | Strategic Goal Supported | Measurement Area | Measurement Grouping | Measurement Indicator | Baseline | Planned Improvement to the Baseline | Actual Results |
---|
1 | 2006 | Effective Management of Human Capital/Information Technology/Resources | Mission and Business Results | System Maintenance | Variance of cost from Plan | 0.00 | 0.00 | 0.00 | 2 | 2006 | Effective Management of Human Capital/Information Technology/Resources | Customer Results | Availability | Percentage of time that System is available to users during the 12 hour daily schedule | 99.99% | 99.5% | 99.99% | 3 | 2006 | Effective Management of Human Capital/Information Technology/Resources | Technology | Reliability | Percentage of time that processing occurs smoothly | 99.99% | 99.5% | 99.99% | 4 | 2006 | Effective Management of Human Capital/Information Technology/Resources | Processes and Activities | Errors | Percentage of errors reported | .002 | .005 | .002 | 5 | 2007 | Effective Management of Human Capital/Information Technology/Resources | Mission and Business Results | System Maintenance | Variance of cost from Plan | 0.00 | 0.00 | 0.0 | 6 | 2007 | Effective Management of Human Capital/Information Technology/Resources | Customer Results | Availability | Percentage of time that System is available to users during the 12 hour daily schedule | 99.99% | 99.5% | 99.99 | 7 | 2007 | Effective Management of Human Capital/Information Technology/Resources | Technology | Reliability | Percentage of time that processing occurs smoothly | 99.99% | 99.5% | 99.99 | 8 | 2007 | Effective Management of Human Capital/Information Technology/Resources | Processes and Activities | Errors | Percentage of errors reported | .002 | .005 | .002 | 9 | 2008 | Effective Management of Human Capital/Information Technology/Resources | Mission and Business Results | System Maintenance | Variance of cost from Plan | 0.00 | 0.00 | TBD | 10 | 2008 | Effective Management of Human Capital/Information Technology/Resources | Customer Results | Availability | Percentage of time that System is available to users during the 12 hour daily schedule | 99.99% | 99.5% | TBD | 11 | 2008 | Effective Management of Human Capital/Information Technology/Resources | Technology | Reliability | Percentage of time that processing occurs smoothly | 99.99% | 99.5% | TBD | 12 | 2008 | Effective Management of Human Capital/Information Technology/Resources | Processes and Activities | Errors | Percentage of errors reported | .002 | .005 | TBD | 13 | 2009 | Effective Management of Human Capital/Information Technology/Resources | Mission and Business Results | System Maintenance | Variance of cost from Plan | 0.00 | 0.00 | TBD | 14 | 2009 | Effective Management of Human Capital/Information Technology/Resources | Customer Results | Availability | Percentage of time that System is available to users during the 12 hour daily schedule | 99.99% | 99.5% | TBD | 15 | 2009 | Effective Management of Human Capital/Information Technology/Resources | Technology | Reliability | Percentage of time that processing occurs smoothly | 99.99% | 99.5% | TBD | 16 | 2009 | Effective Management of Human Capital/Information Technology/Resources | Processes and Activities | Errors | Percentage of errors reported | .002 | .005 | TBD | 17 | 2010 | Effective Management of Human Capital/Information Technology/Resources | Mission and Business Results | System Maintenance | Variance of cost from Plan | 0.00 | 0.00 | TBD | 18 | 2010 | Effective Management of Human Capital/Information Technology/Resources | Customer Results | Availability | Percentage of time that System is available to users during the 12 hour daily schedule | 99.99% | 99.5% | TBD | 19 | 2010 | Effective Management of Human Capital/Information Technology/Resources | Technology | Availability | Percentage of time that processing occurs smoothly | .002 | .005 | TBD | 20 | 2010 | Effective Management of Human Capital/Information Technology/Resources | Processes and Activities | Errors | Percentage of errors reported | 99.99% | 99.5% | TBD | 21 | 2011 | Effective Management of Human Capital/Information Technology/Resources | Mission and Business Results | System Maintenance | Variance of cost from Plan | 0.00 | 0.00 | TBD | 22 | 2011 | Effective Management of Human Capital/Information Technology/Resources | Customer Results | Availability | Percentage of time that System is available to users during the 12 hour daily schedule | 99.99% | 99.5% | TBD | 23 | 2011 | Effective Management of Human Capital/Information Technology/Resources | Technology | Availability | Percentage of time that processing occurs smoothly | .002 | .005 | TBD | 24 | 2011 | Effective Management of Human Capital/Information Technology/Resources | Processes and Activities | Errors | Percentage of errors reported | 99.99% | 99.5% | TBD | 25 | 2012 | Effective Management of Human Capital/Information Technology/Resources | Mission and Business Results | System Maintenance | Variance of cost from Plan | 0.00 | 0.00 | TBD | 26 | 2012 | Effective Management of Human Capital/Information Technology/Resources | Customer Results | Availability | Percentage of time that System is available to users during the 12 hour daily schedule | 99.99% | 99.5% | TBD | 27 | 2012 | Effective Management of Human Capital/Information Technology/Resources | Technology | Availability | Percentage of time that processing occurs smoothly | .002 | .005 | TBD | 28 | 2012 | Effective Management of Human Capital/Information Technology/Resources | Processes and Activities | Errors | Percentage of errors reported | 99.99% | 99.5% | 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.
- NIH CIT Central Accounting System (CAS)
- 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. Row | Agency Component Name | Agency Component Description | Service Type | Component | Reused Component Name | Reused UPI | Internal or External Reuse? | Funding % |
---|
1 | Access Control | Access Control - Support the management of permissions for logging onto a computer, application, service, or network; includes user management and role/privilege management. | Systems Management | Access Control | | | No Reuse | 2 | 2 | Activity-Based Management | Defines the set of capabilities that support a defined, specific set of finance-related tasks for a given objective. | Financial Management | Activity-Based Management | | | No Reuse | 3 | 3 | Ad Hoc | Defines the set of capabilities that support the use of dynamic reports on an as needed basis. | Reporting | Ad Hoc | | | No Reuse | 3 | 4 | Auditing | Defines the set of capabilities that support the examination and verification of records for accuracy. | Financial Management | Auditing | | | No Reuse | 10 | 5 | Billing and Accounting | Defines the set of capabilities that support the charging, collection and reporting of an organization's accounts. | Financial Management | Billing and Accounting | | | No Reuse | 50 | 6 | Decision Support and Planning | Defines the set of capabilities that support the analyze information and predict the impact of decisions before they are made. | Business Intelligence | Decision Support and Planning | | | No Reuse | 10 | 7 | Payment / Settlement | Defines the set of capabilities that support the process of accounts payable. | Financial Management | Payment / Settlement | | | No Reuse | 21 | 8 | Standardized / Canned | Defines the set of capabilities that support the use of pre-conceived or pre-written reports. | Reporting | Standardized / Canned | | | No Reuse | 1 |
- 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. Row | SRM Component | >Service Area | Service Category | Service Standard | Service Specification (i.e., vendor and product name) |
---|
1 | Access Control | Service Access and Delivery | Service Requirements | Authentication / Single Sign-on | RACF | 2 | Activity-Based Management | Component Framework | Presentation / Interface | Static Display | QWS3270 - IBM | 3 | Ad Hoc | Service Platform and Infrastructure | Database / Storage | Database | IMS - IBM | 4 | Ad Hoc | Service Interface and Integration | Interface | Service Description / Interface | MAINFRAME - IBM | 5 | Auditing | Service Platform and Infrastructure | Software Engineering | Software Configuration Management | COBOL - IBM | 6 | Billing and Accounting | Component Framework | Business Logic | Platform Dependent | COBOL - IBM | 7 | Decision Support and Planning | Service Access and Delivery | Service Transport | Supporting Network Services | Cisco | 8 | Payment / Settlement | Service Access and Delivery | Access Channels | Other Electronic Channels | Cisco | 9 | Payment / Settlement | Service Access and Delivery | Delivery Channels | Intranet | IE - Microsoft | 10 | Standardized / Canned | Service Platform and Infrastructure | Hardware / Infrastructure | Servers / Computers | OS390 - IBM |
- 6. Will the application leverage existing components and/or applications across the Government (i.e., FirstGov, Pay.Gov, etc)?
- yes
- 6.a. If yes, please describe.
- This investment leverages: Budget Formulation and Execution Line of Business, Financial Management Line of Business.
PART THREE
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?
- 2007-06-22
- 1.b. Has the Risk Management Plan been significantly changed since last year's submission to OMB?
- no
COST & SCHEDULE
- 1. Was operational analysis conducted?
- yes
- 1.a. If yes, provide the date the analysis was completed.
- 2008-01-25
- What were the results of your operational analysis?
- The CAS is fully operational and operates well within the budgeted costs. The CAS is a batch system and the percentage of daily errors is within .02%. There is no customer interaction with the CAS and as a result, there were no customer satisfaction surveys conducted. Due to some audit concerns and gaps in meeting the business mission, the CAS is being replaced by the NBS.
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