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Agency – represents agencies of the Executive Branch of the Government subject to Executive Branch review. (per OMB Circular A-11 Section 53 guidance) The list of agencies and bureau codes can be found in OMB Circular A-11 Appendix-C. Bureau – represents sub-agencies or operating division of an Agency in the Executive Branch of the Government subject to Executive Branch review. (per OMB Circular A-11 Section 53 guidance) The list of agencies and bureau codes can be found in OMB Circular A-11 Appendix-C. Business Reference Model (BRM) - is a function-driven framework used to describe the lines of business and sub-functions performed by the Federal Government independent of the agencies performing them. IT investments are mapped to the BRM to identify collaboration opportunities. (per OMB Circular A-11 Section 53 guidance). Certification and Accreditation (C&A) - is a comprehensive assessment of the management, operational, and technical security controls in an information system, made in support of security accreditation, to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security requirements of the system. (per OMB Circular A-11 Section 53 guidance). Development | Modernization | Enhancement (DME) - means the program cost for new investments, changes or modifications to existing systems to improve capability or performance, changes mandated by the Congress or agency leadership, personnel costs for investment management, and direct support. For major IT investments, this amount should equal the sum of amounts reported for planning and acquisition plus the associated FTE costs reported in the exhibit 300. (per OMB Circular A-11 Section 53 guidance). Exhibit 53 – This represents the agency IT investment portfolio, submitted per OMB Circular A-11 Section 53. (per OMB Circular A-11 Section 53 guidance). Exhibit 300s - These documents provide the budget justifications (also known as Business Cases) for major agency investments, submitted per OMB Circular A-11 Section 300. (per OMB Circular A-11 Section 300 guidance). Earned Value Management Systems (EVM) - is a project management tool that effectively integrates the project scope of work with schedule and cost elements for optimum project planning and control. The qualities and operating characteristics of earned value management systems are described in American National Standards Institute (ANSI)/Electronic Industries Alliance (EIA) Standard –748–1998, Earned Value Management Systems, approved May 19, 1998. A copy of Standard 748 is available from Global Engineering Documents (1–800–854–7179). Information on earned value management systems is available at http://www.acq.osd.mil/pm. (per OMB Circular A-11 Section 300 guidance). Federal Enterprise Architecture (FEA) - is a business-based framework for government-wide improvement. It describes the relationship between business functions and the technologies and information supporting them. The FEA is constructed through a collection of interrelated "reference models" designed to facilitate cross-agency analysis and the identification of duplicative investments, gaps, and opportunities for collaboration within and across federal agencies. For the next President's Budget, major IT investments should be aligned with each reference model within the FEA framework, except for the Data Reference Model. More information about the FEA reference models is available at http://www.egov.gov. (per OMB Circular A-11 Section 53 guidance). Funding Source - means the direct appropriation or other budgetary resources an agency receives. You need to identify the budget account and the budget authority provided. Report those budget accounts providing the financing for a particular investment. To avoid double counting, do not report any accounts receiving intra-governmental payments to purchase IT investments or services as funding sources. (per OMB Circular A-11 Section 53 guidance). Government Information - means information created, collected, processed, disseminated, or disposed of by or for the Federal government. (per OMB Circular A-11 Section 53 guidance). High Risk List (HRL) - the aggregated list of projects meeting OMB’s High Risk List inclusion criteria. High Risk projects are not necessarily “at risk,” but are those requiring special attention from the highest level of agency management. While these programs may be performing well, they are determined to be high risk due to different factors such as the high cost of the project or the level of importance the project plays in the overall mission of the agency or other organization. (per Chapter 9 – Analytical Perspectives Volume of the FY2009 President's Budget) Investments can be included on the OMB High Risk Project List for the following reasons (per OMB's Published High Risk List):
High Risk Projects (HRP) - require special attention from oversight authorities and the highest levels of agency management because: 1) the agency has not consistently demonstrated the ability to manage complex projects; 2) of the exceptionally high development, operating, or maintenance costs, either in absolute terms or as a percentage of the agency's total IT portfolio; 3) it is being undertaken to correct recognized deficiencies in the adequate performance of an essential mission program or function of the agency, a component of the agency, or another organization, or 4) delay or failure would introduce for the first time inadequate performance or failure of an essential mission program or function of the agency, a component of the agency, or another organization. If a High Risk Project is represented by an entire IT Investment, the IT Investment would be also known as a High Risk Investment. Reporting on these OMB high risk projects was initiated by OMB’s M-05-23, Improving Information Technology (IT) Project Planning and Execution. Information System (IS) - means a discrete set of information technology, data, and related resources, such as personnel, hardware, software, and associated information technology services organized for the collection, processing, maintenance, use, sharing, dissemination or disposition of information. (per OMB Circular A-11 Section 53 guidance). Information Technology (IT) - as defined by the Clinger-Cohen Act of 1996, sections 5002, 5141, and 5142, means any equipment or interconnected system or subsystem of equipment used in the automatic acquisition, storage, manipulation, management, movement, control, display, switching, interchange, transmission, or reception of data or information. For purposes of this definition, equipment is "used" by an agency whether the agency uses the equipment directly or it is used by a contractor under a contract with the agency that (1) requires the use of such equipment or (2) requires the use, to a significant extent, of such equipment in the performance of a service or the furnishing of a product. Information technology includes computers, ancillary equipment, software, firmware and similar procedures, services (including support services), and related resources. It does not include any equipment acquired by a Federal contractor incidental to a Federal contract. (per OMB Circular A-11 Section 53 guidance). IT Migration Investment - means the partner agency's migration costs associated with moving an existing investment, system, process or capability to a Government-wide common solution. All IT E-Gov and Line of Business (LoB) migration projects must be tracked separately and not part of a larger investment. As these projects almost always consist of activities with more than one agency, migration investments are "High Risk." (per OMB Circular A-11 Section 53 guidance). Lines of Business (LoB) Initiatives - In March 2004, the Office of Management and Budget (OMB) initiated a government-wide analysis of five lines of business supporting the President's Management Agenda goal to expand Electronic Government. Interagency taskforces examined business and information technology data and best practices for each line of business – financial, human resources, grants, health, and case management systems. The goals of these efforts are to identify opportunities to reduce the cost of government and improve services to citizens through business performance improvements. (per the Egov.gov website). Management Watch List (MWL) - The Management Watch List is a management tool used by OMB to help agency officials successfully monitor agency IT planning. This list is updated quarterly to ensure that agencies are effectively addressing issues their IT investments planning materials and improving the ability of the Federal government to deliver information and services to the public. Major Investments are on the MWL when there is a need to improve the performance measurement, earned value management or system security. Major Investments are placed on the MWL based on the following reasons (per Chapter 9 – Analytical Perspectives Volume of the FY2009 President's Budget):
Major IT Investment - means a system or an acquisition requiring special management attention because it: has significant importance to the mission or function of the agency, a component of the agency or another organization; is for financial management and obligates more than $500,000 annually; has significant program or policy implications; has high executive visibility; has high development, operating, or maintenance costs; is funded through other than direct appropriations; or is defined as major by the agency's capital planning and investment control process. OMB may work with the agency to declare other investments as major investments. If you are unsure about what investments to consider as "major", consult your agency budget officer or OMB representative. Investments not considered "major" are "non-major." (per OMB Circular A-11 Section 53 guidance). Managing Partner - represents the agency designated as the lead agency responsible for the implementation of the E-Gov or LoB initiative. The managing partner is also responsible for coordinating and submitting the exhibit 300 for the initiative and the exhibit 300 will be represented as part of the managing partner's budget portfolio. (per OMB Circular A-11 Section 53 guidance). Non-Major IT Investment - means any initiative or investment not meeting the definition of major defined above but is part of the agency's IT Portfolio. All non-major investments must be reported individually on the exhibit 53. (per OMB Circular A-11 Section 53 guidance). Partner Agency - represents the agency for an E-Gov or LoB initiative designated as an agency that should provide resources (e.g., funding, FTEs, in-kind) to the management, development, deployment, or maintenance of a common solution. The partner agency is also responsible for including the appropriate line items in its Exhibit 53 reflecting the amount of the contribution for each of the E-Gov or LoB initiatives to which it is providing resources. (per OMB Circular A-11 Section 53 guidance). Primary FEA Mapping - is the identification of the primary function or service supported by the IT investment. For the next President's Budget, investments should identify a primary mapping to either the BRM (Line of Business and associated sub-function) or to the SRM (Service Type and associated Component). Only one primary FEA mapping should be provided for each investment. A BRM mapping should be used if the investment primarily supports a functional area. If the investment primarily provides a service cross-cutting multiple functional areas, the SRM mapping should be provided. Guidance on the codes for the BRM and SRM primary mappings can be found at http://www.egov.gov. Note: BRM lines of business and sub-functions in the Mode of Delivery business area are not valid as primary FEA mappings. (per OMB Circular A-11 Section 53 guidance). Privacy Impact Assessment (PIA) - is a process for examining the risks and ramifications of using information technology to collect, maintain and disseminate information in identifiable form from or about members of the public, and for identifying and evaluating protections and alternative processes to mitigate the impact to privacy of collecting such information. Consistent with September 26th, 2003 OMB guidance (M–03–22) implementing the privacy provisions of the E-Government Act, agencies must conduct and make publicly available PIAs for all new or significantly altered information technology investments administering information in identifiable form collected from or about members of the public. (per OMB Circular A-11 Section 53 guidance). Segment Architecture - Detailed results-oriented architecture (baseline and target) and a transition strategy for a portion or segment of the enterprise. Segments are individual elements of the enterprise describing core mission areas, and common or shared business services and enterprise services. (per OMB Circular A-11 Section 53 guidance). Service Component Reference Model (SRM) is a common framework and vocabulary used for characterizing the IT and business components collectively comprising an IT investment. The SRM helps agencies rapidly assemble IT solutions through the sharing and re-use of business and IT components. A component is a self-contained process, service, or IT capability with pre-determined functionality that may be exposed through a business or technology interface. (per OMB Circular A-11 Section 53 guidance). Steady State (SS) means maintenance and operation costs at current capability and performance level including costs for personnel, maintenance of existing information systems, corrective software maintenance, voice and data communications maintenance, and replacement of broken IT equipment. For major IT investments, this amount should equal the amount reported for maintenance plus the associated FTE costs reported in the exhibit 300. (per OMB Circular A-11 Section 53 guidance). System of Records Notice (SORN) means a statement providing to the public notice of the existence and character of a group of any records under the control of any agency from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual. The Privacy Act of 1974 requires this notice to be published in the Federal Register upon establishment or substantive revision of the system, and establishes what information about the system must be included. (per OMB Circular A-11 Section 53 guidance). Investment Title - means a definitive title explaining the investment. If the investment title has changed, include the previous name in parentheses. (per OMB Circular A-11 Section 53 guidance). Unique Project Identifiers (UPI) - is a 17-digit numeric code for identifying IT Investments in the Exhibit 53 and Exhibit 300, specific guidance can be found in OMB Circular A-11 Section 53.
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