| | Exhibit 300 (BY2009) for Office of the Secretary, Assistant Secretary of Administration and Managment, Core Accounting System (CORE)PART ONE
OVERVIEW
- 1. Date of Submission:
- 2008-02-04
- 2. Agency:
- 009
- 3. Bureau:
- 90
- 4. Name of this Capital Asset:
- OS ASAM Core Accounting System (CORE)
- 5. Unique Project Identifier:
- 009-90-01-01-01-1010-00
- 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 CORE is the legacy mainframe application that performs the Joint Financial Management Improvement Project (JFMIP) defined `core' financial management functions for eight Operating Divisions (OPDIVs) within the Department. The CORE meets applicable requirements for financial management systems, including the requirements of the Federal Financial Management Improvement Act (FFMIA), JFMIP, OMB Circular A-127, etc. All A-123 standards are implemented in Core, providing support to HHS meeting OMB "green" Standards for Success. The CORE, as the official accounting system for the PSC and its customers, is critical in meeting the mission and regulatory requirements of the agencies it supports (ACF, AoA, OS, SAMHSA, HRSA, AHRQ, IHS). The Core Accounting System provides critical financial support and reporting services to the Department thereby enabling HHS management to make fact-based program decisions and to meet their PMA goals. The Core Accounting System (CORE) is scheduled to be the replaced by the Department of Health and Human Services (HHS) Unified Financial Management System (UFMS) in Fiscal Year 2007. (See the HHS UFMS Capital Asset Plan and Business Case). This investment is a "close out" as of October 2007 for all transactional users and will have only archive/research capabilities afterward. The CORE is fully operational and is in the steady-state/maintenance phase of its system cycle. The budget for CORE includes amounts for its continuing operation and maintenance. Core could not close recent gaps in meeting Financial Systems Integration Office (FSIO) financial systems requirements and the UFMS will provide the PSC and its customers with a FSIO-compliant system.
- 9. Did the Agency's Executive/Investment Committee approve this request?
- yes
- 9.a. If "yes," what was the date of this approval?
- 2006-06-23
- 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?
- Mid/Journeyman-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 |
---|
Budget Performance Integration | Eliminating Improper Payments | 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?)
- Core provides agencies with budgetary reports to compare budgets to actual spending. All financial statements for 7 of the HHS agencies are produced from Core. All A-123 standards are implemented in Core, providing support to HHS meeting OMB "green" Standards for Success. Core captures financial information from E-Gov systems, enabling PSC to provide E-Gov systems support to HHS agencies. Core allows agencies to manage payment processes to decrease the occurrence of improper payments.
- 14. Does this investment support a program assessed using the Program Assessment Rating Tool (PART)?
- 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:
- Federal financial systems requirements, applicable Federal accounting standards, US Standard General Ledger
- 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.
- Core Accounting System
- 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 | 0 | Other | 100 |
- 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 | Suzi Connor | Phone Number | 202-260-5528 | Title | OS Senior Privacy Official | Email | Suzi.Connor@hhs.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 | 17.602 | 4.344 | 0.500 | 0.000 | Government FTE Cost | 0.842 | 0.376 | 0.000 | 0.000 | # of FTEs | 6 | 2 | 0 | 0 |
- 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.
- CORE is being retired -- replaced by UFMS
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 | Accounting | % unqualified "clean" audit opinions | 100% | none | 100% | 2 | 2006 | Effective Management of Human Capital/Information Technology/Resources | Customer Results | Response Time | % financial reports submitted within 5 days after the end of a covered period | 95% | +5% | 100% | 3 | 2006 | Effective Management of Human Capital/Information Technology/Resources | Processes and Activities | Cycle Time | % Core financial functions converted to UFMS | na | 30% | 30% | 4 | 2006 | Effective Management of Human Capital/Information Technology/Resources | Technology | Availability | % functional systems interfaces integrated through use of UFMS | na | 30% | 30% | 5 | 2007 | Effective Management of Human Capital/Information Technology/Resources | Mission and Business Results | Accounting | % unqualified "clean" audit opinions | 100% | none | | 6 | 2007 | Effective Management of Human Capital/Information Technology/Resources | Customer Results | Response Time | % financial reports submitted within 5 days after the end of a covered period | 95% | +5% | | 7 | 2007 | Effective Management of Human Capital/Information Technology/Resources | Processes and Activities | Cycle Time | % Core financial functions converted to UFMS | 30% | 70% (100% total) | | 8 | 2007 | Effective Management of Human Capital/Information Technology/Resources | Technology | Availability | % functional systems interfaces integrated through use of UFMS | 30% | 70% (100% total) | |
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.
- Its replacement system, UFMS, is included in the Transition Strategy.
- 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 | Expense Management | Defines the set of capabilities that support the management and reimbursement of costs paid by employees or an organization. | Financial Management | Expense Management | | | No Reuse | 33 | 2 | 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 | 33 | 3 | Revenue Management | Defines the set of capabilities that support the allocation and re-investment of earned net credit or capital within an organization. | Financial Management | Revenue Management | | | No Reuse | 34 |
- 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 | Expense Management | Component Framework | Business Logic | Platform Dependent | COBOL | 2 | Expense Management | Component Framework | Data Interchange | Data Exchange | COBOL | 3 | Expense Management | Component Framework | Data Management | Database Connectivity | COBOL | 4 | Expense Management | Component Framework | Data Management | Reporting and Analysis | COBOL | 5 | Expense Management | Service Access and Delivery | Service Requirements | Authentication / Single Sign-on | COBOL | 6 | Expense Management | Service Interface and Integration | Interface | Service Description / Interface | COBOL | 7 | Expense Management | Service Interface and Integration | Interoperability | Data Format / Classification | COBOL | 8 | Expense Management | Service Interface and Integration | Interoperability | Data Transformation | COBOL | 9 | Expense Management | Service Platform and Infrastructure | Database / Storage | Database | COBOL | 10 | Billing and Accounting | Component Framework | Business Logic | Platform Dependent | COBOL | 11 | Billing and Accounting | Component Framework | Data Interchange | Data Exchange | COBOL | 12 | Billing and Accounting | Component Framework | Data Management | Database Connectivity | COBOL | 13 | Billing and Accounting | Component Framework | Data Management | Reporting and Analysis | COBOL | 14 | Billing and Accounting | Service Access and Delivery | Service Requirements | Authentication / Single Sign-on | COBOL | 15 | Billing and Accounting | Service Interface and Integration | Interface | Service Description / Interface | COBOL | 16 | Billing and Accounting | Service Interface and Integration | Interoperability | Data Format / Classification | COBOL | 17 | Billing and Accounting | Service Interface and Integration | Interoperability | Data Transformation | COBOL | 18 | Billing and Accounting | Service Platform and Infrastructure | Database / Storage | Database | COBOL | 19 | Revenue Management | Component Framework | Business Logic | Platform Dependent | COBOL | 20 | Revenue Management | Component Framework | Data Interchange | Data Exchange | COBOL | 21 | Revenue Management | Component Framework | Data Management | Database Connectivity | COBOL | 22 | Revenue Management | Component Framework | Data Management | Reporting and Analysis | COBOL | 23 | Revenue Management | Service Access and Delivery | Service Requirements | Authentication / Single Sign-on | COBOL | 24 | Revenue Management | Service Interface and Integration | Interface | Service Description / Interface | COBOL | 25 | Revenue Management | Service Interface and Integration | Interoperability | Data Format / Classification | COBOL | 26 | Revenue Management | Service Interface and Integration | Interoperability | Data Transformation | COBOL | 27 | Revenue Management | Service Platform and Infrastructure | Database / Storage | Database | COBOL |
- 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: Financial Management Line of Business. Was used by the entire HHS, currently only IHS continues to use it.
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?
- 2006-06-30
- 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.
- 2007-07-31
- What were the results of your operational analysis?
- Core was evaluated against NIST 800-53 requirements specifically in areas of Risk Assessment, System Security Plan, Certification and Accreditation, Identification and Authentication, Audit and Accountability, and Change Control. Two minor findings are being corrected. Performance of the system and operational functionality was adequate to meet customer financial data processing requirements. Retirement of this investment is scheduled for close of the fiscal year 2007. Archive and storage of data for audit and research purposes is being managed separately from this investment..
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