Exhibit 300: Part I: Summary Information and Justification (All Capital Assets)

I.A. Overview

1. Date of Submission:

2. Agency:

Department of Transportation

3. Bureau:

Research & Innovative technology Administration

4. Name of this Capital Asset:

RITAX008: BTS Mid Tier Server/Airline Reporting and Data Information System (previously BTSXX008)

5. Unique Project (Investment) Identifier: (For IT investment only, see section 53. For all other, use agency ID system.)

021-53-01-14-01-1090-00

6. What kind of investment will this be in FY2008? (Please NOTE: Investments moving to O&M ONLY in FY2008, with Planning/Acquisition activities prior to FY2008 should not select O&M. These investments should indicate their current status.)

Operations and Maintenance

7. What was the first budget year this investment was submitted to OMB?

FY2003

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 RITA-Bureau of Transportation Statistics is responsible for DOT's aviation statistics program as managed by the Office of Airline Information (OAI). The aviation statistics program provides consistent and comprehensive air carrier financial, traffic, and operational statistics that portray the results of air carrier operations in the air transportation industry in support of DOT decision-makers in OST and the FAA. Data and data access services provide direct support to major DOT aviation programs in OST and the FAA that include the negotiation of international air service agreements, the evaluation of the initial and continuing fitness of air carriers to provide public air transportation services, the allocation and distribution of airport improvement funds under a congressional appropriation, and the monitoring of the economic health of the air transportation industry. The Office of Airline Information fulfills the RITA-BTS mission for airline industry data through: (1) the management of the on-going airline data collection program; (2) collecting, validating, compiling, analyzing, and publishing a comprehensive set of transportation statistics; (3) the issuance of guidelines, interpretations, and directives to facilitate the collection of comparable and accurate airline industry data; (4) the identification of information that is needed, but which is not being collected; (5) the exchange of data with airline industry organizations such as the International Civil Aviation Organization (ICAO); and (6) the compilation of aviation statistics for government use and report compilations and for distribution as publicly available data.

9. Did the Agency's Executive/Investment Committee approve this request?

Yes

   a. If "yes," what was the date of this approval?

9/1/2006

10. Did the Project Manager review this Exhibit?

Yes

11. Contact information of Project Manager?

Name

Bright, Donald

Phone Number

202-366-4373

Email

don.bright@dot.gov

12. Has the agency developed and/or promoted cost effective, energy efficient and environmentally sustainable techniques or practices for this project.

No

   a. Will this investment include electronic assets (including computers)?

No

   b. Is this investment for new construction or major retrofit of a Federal building or facility? (answer applicable to non-IT assets only)

No

      1. If "yes," is an ESPC or UESC being used to help fund this investment?

      2. If "yes," will this investment meet sustainable design principles?

      3. If "yes," is it designed to be 30% more energy efficient than relevant code?

13. Does this investment support one of the PMA initiatives?

No

   If "yes," check all that apply:

   13a. Briefly describe how this asset directly supports the identified initiative(s)?

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.)

Yes

   a. If "yes," does this investment address a weakness found during the PART review?

No

   b. If "yes," what is the name of the PART program assessed by OMB's Program Assessment Rating Tool?

Transportation Statistics Program

   c. If "yes," what PART rating did it receive?

Moderately Effective

15. Is this investment for information technology?

Yes

If the answer to Question: "Is this investment for information technology?" was "Yes," complete this sub-section. If the answer is "No," do not answer this sub-section.

For information technology investments only:

16. What is the level of the IT Project? (per CIO Council PM Guidance)

Level 1

17. What project management qualifications does the Project Manager have? (per CIO Council PM Guidance):

(2) Project manager qualification is under review for this investment

18. Is this investment identified as "high risk" on the Q4 - FY 2006 agency high risk report (per OMB's "high risk" memo)?

No

19. Is this a financial management system?

No

   a. If "yes," does this investment address a FFMIA compliance area?

No

      1. If "yes," which compliance area:

n/a

      2. If "no," what does it address?

   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

20. What is the percentage breakout for the total FY2008 funding request for the following? (This should total 100%)

Hardware

0

Software

0

Services

100.000000

Other

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:

Name

Monniere, Robert

Phone Number

202-366-5498

Title

Privacy Officer

E-mail

Robert.Monniere@dot.gov

23. Are the records produced by this investment appropriately scheduled with the National Archives and Records Administration's approval?

Yes

I.B. Summary of Funding

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.

Table 1: SUMMARY OF SPENDING FOR PROJECT PHASES
(REPORTED IN MILLIONS)
(Estimates for BY+1 and beyond are for planning purposes only and do not represent budget decisions)

0.02

0

0

0

3.1

0

0

0

3.12

0

0

0

4.264

0.257

0.257

0.247

<FY09 & beyond redacted>

7.384

0.257

0.257

0.247

0.8

0.412

0.412

0.412

12.00

2.00

2.00

2.00

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.

2. Will this project require the agency to hire additional FTE's?

No

   a. If "yes," How many and in what year?

3. If the summary of spending has changed from the FY2007 President's budget request, briefly explain those changes:

<Redacted>

I.C. Acquisition/Contract Strategy

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.

Contracts/Task Orders Table:

<Acquisition/ contract data redacted>

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:

ARDIS is a "steady state" system, and it is only the IT portion of the overall airline data services contract that is needed for ARDIS Operations & Maintenance (M&O)

3. Do the contracts ensure Section 508 compliance?

No

   a. Explain why:

The current IT contract, that covers FY2003 through FY08, was let before 508 compliance was understood to be required. In our forward looking IT contracting plans will include 508 compliance. The deliverables/output currently produced are 508 compliant.

4. Is there an acquisition plan which has been approved in accordance with agency requirements?

Yes

   a. If "yes," what is the date?

10/1/2001

   b. If "no," will an acquisition plan be developed?

      1. If "no," briefly explain why:

I.D. Performance Information

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 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 or qualitative measure.

Agencies must use Table 1 below for reporting performance goals and measures for all non-IT investments and for existing IT investments that were initiated prior to FY 2005. The table can be extended to include measures for years beyond FY 2006.

Performance Information Table 1:

Organizational Excellence: To ensure the availability of reliable, accurate and relevant aviation data for key DOT customers in OST and FAA.

To reduce by 2 the number of quarterly customer inquiries and requests for data not answered or resolved within 10 business days.

6 of 51 customer inquiries and requests for data received per quarter were not closed within 10 business days; Estimate based on actual numbers for one quarter in FY2004.

Number of customer inquiries and requests for data not answered or resolved within 10 business days.

Through September 30, 2005, all inquiries and requests for data were handled within 10 business days.

Organizational Excellence: To ensure the availability of reliable, accurate and relevant aviation data for the component agencies of DOT.

To reduce the number of customer complaints per month to 2.

6 complaints received per month; estimate based on actual numbers for one quarter in FY2004.

Number of complaints received per month

For FY05, averaged 3 per month. Complaints per month: 2004: Oct:4, Nov:3, Dec:6, 2005: Jan:2, Feb:3, Mar:5, Apr:4, May:5, June:0, July:2, Aug:1, Sep:1

Organizational Excellence: To ensure the availability of reliable, accurate and relevant aviation data for the component agencies of DOT.

To reduce the number of customer complaints about the quality of data released to 1 per month.

6 customer complaints about the quality of data released received per month; estimate based on actual numbers for aone quarter in FY 2004

Number of customer complaints about the quality of data released received per month.

OAI customer complaints about the quality of data released are averaging 1.2 per month: 2005: Oct: 2 (298c), Nov: 1 (298c), Dec: 1(298c), 2006: Jan: 0, Feb: 1(T2); Mar: 1(O&D); Apr: 2(T100/O&D); May: 2(Ontime/O&D); June: 3(T100/Ontime); July 0

Organizational Excellence: To ensure the availability of reliable, accurate and relevant aviation data for key DOT customers in OST and FAA.

Data Released not more than 1 day late per the schedule

Need to review FY 2005 products' release dates to confirm whether or now the data released per the schedule

All data released per the schedule

Actual results October 2005 - July 2006: All data has released per the schedule

Global Connectivity: To ensure the availability of an IT environment that promotes the most efficient, cost-effective and competitive environmnet for airline passenger travel data for the component agencies of DOT. .

To reduce the number of user complaints about the ARDIS production system to 1 per month.

6 complaints about the availability of the production system received per month; estimate based on actual numbers for Three quarters in FY 2005: Complaints per month: 2005: Jan:2, Feb:3, Mar:5, Apr:4, May:5, June:0, July:2, Aug:1, Sep:1

Number of complaints about the ARDIS production system received per month.

ARDIS production sytem complaints/downtime averaging 3 per month, peaked in Dec05 during disruptions related to OST IT server support change over: 2005 Oct - 2; Nov - 3; Dec - 10; 2006 Jan - 5; Feb - 6; Mar - 0; Apr - 3; May - 5; June - 1; July - 1;

Global Connectivity: To ensure the availability of an IT environment that promotes the most efficient, cost-effective and competitive environmnet for airline passenger travel data for the component agencies of DOT.

To reduce the number of customer complaints per month by 2.

TBD

Number of complaints received per month.

TBD

Organizational Excellence: To ensure the availability of reliable, accurate and relevant aviation data for the component agencies of DOT.

To reduce the number of customer complaints about the quality of data released to 1 per month.

TBD

Number of customer complaints about the quality of data released received per month.

TBD

Organizational Excellence: To ensure the availability of reliable, accurate and relevant aviation data for key DOT customers in OST and FAA.

Data Released not more than 1 day late per the schedule

TBD

All data released per the schedule

TBD

Global Connectivity: To ensure the availability of an IT environment that promotes the most efficient, cost-effective and competitive environmnet for airline passenger travel data for the component agencies of DOT.

To reduce the number of customer complaints per month by 2.

TBD

Number of complaints received per month

TBD

Organizational Excellence: To ensure the availability of reliable, accurate and relevant aviation data for the component agencies of DOT.

To reduce the number of customer complaints about the quality of data released to 1 per month.

TBD

Number of customer complaints about the quality of data released received per month.

TBD

Organizational Excellence: To ensure the availability of reliable, accurate and relevant aviation data for key DOT customers in OST and FAA.

Data Released not more than 1 day late per the schedule

TBD

All data released per the schedule

TBD

Global Connectivity: To ensure the availability of an IT environment that promotes the most efficient, cost-effective and competitive environmnet for airline passenger travel data for the component agencies of DOT.

To reduce the number of customer complaints per month by 2.

TBD

Number of complaints received per month

TBD

Organizational Excellence: To ensure the availability of reliable, accurate and relevant aviation data for key DOT customers in OST and FAA.

Data Released not more than 1 day late per the schedule

TBD

All data released per the schedule

TBD

Organizational Excellence: To ensure the availability of reliable, accurate and relevant aviation data for the component agencies of DOT.

To reduce the number of customer complaints about the quality of data released to 1 per month.

TBD

Number of customer complaints about the quality of data released received per month.

TBD

Global Connectivity

Ticket O&D air passenger data is to be collected monthly by FY2010 or prior, based upon the phased implementation and testing of the airline data collection processing improvements being funded by this IT investment proposal, to meet Performance Goal #5 Efficient and Effective Systems of Passenger Travel.

TBD

Number of airline reports of Ticket O&D air passenger data that are collected monthly are expected to increase from quarterly to monthly reporting each year for each air carrier required to report the O&D data

TBD

Organizational Excellence: To ensure the availability of reliable, accurate and relevant aviation data for the component agencies of DOT.

To reduce the number of customer complaints about the quality of data released to 1 per month.

TBD

Number of customer complaints about the quality of data released received per month.

TBD

Global Connectivity: To ensure the availability of an IT environment that promotes the most efficient, cost-effective and competitive environmnet for airline passenger travel data for the component agencies of DOT.

To reduce the number of customer complaints per month by 2.

TBD

Number of complaints received per month

TBD

Organizational Excellence: To ensure the availability of reliable, accurate and relevant aviation data for key DOT customers in OST and FAA.

Data Released not more than 1 day late per the schedule

TBD

All data released per the schedule

TBD

All new IT investments initiated for FY 2005 and beyond must use Table 2 and are required to use the Federal Enterprise Architecture (FEA) Performance Reference Model (PRM). Please use Table 2 and the PRM to identify the performance information pertaining to this major IT investment. 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 at least four different Measurement Areas (for each fiscal year). The PRM is available at www.egov.gov.

Performance Information Table 2:

I.E. Security and Privacy

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).

All systems supporting and/or part of this investment should be included in the tables below, inclusive of both agency owned systems and contractor systems. For IT investments under development, security and privacy planning must proceed in parallel with the development of the system/s to ensure IT security and privacy requirements and costs are identified and incorporated into the overall lifecycle of the system/s.

Please respond to the questions below and verify the system owner took the following actions:

1. Have the IT security costs for the system(s) been identified and integrated into the overall costs of the investment:

Yes

   a. If "yes," provide the "Percentage IT Security" for the budget year:

1.550000

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.

Yes

3. Systems in Planning - Security Table:

<Security data redacted>

4. Operational Systems - Security Table:

<Security data redacted>

5. Have any weaknesses related to any of the systems part of or supporting this investment been identified by the agency or IG?

No

   a. If "yes," have those weaknesses been incorporated agency's plan of action and milestone process?

No

6. Indicate whether an increase in IT security funding is requested to remediate IT security weaknesses?

No

   a. If "yes," specify the amount, provide a general description of the weakness, and explain how the funding request will remediate the weakness.

7. How are contractor security procedures monitored, verified, validated by the agency for the contractor systems above?

<Redacted>

8. Planning & Operational Systems - Privacy Table:

No

No, because the system does not contain, process, or transmit personal identifying information.

No, because a PIA is not yet required to be completed at this time.

No

No, because the existing Privacy Act system of records was not substantially revised in FY 06.

I.F. Enterprise Architecture (EA)

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

   a. If "no," please explain why?

2. Is this investment included in the agency's EA Transition Strategy?

No

   a. If "yes," provide the investment name as identified in the Transition Strategy provided in the agency's most recent annual EA Assessment.

   b. If "no," please explain why?

For the first version of the DOT Transition Strategy provided to OMB in February 2006, the Department chose to focus on those areas where new development was taking place, placing an emphasis on the transitional aspects of the Department. With that in mind, those investments existing in O&M (Steady State), although integral parts of the Department's Enterprise Architecture, were not included within the scope of the initial release of the Transition Strategy. It is intended that those investments such as ARDIS will be included in subsequent releases of the Department's Transition Strategy.

3. Service 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.whitehouse.gov/omb/egov/.

Custom validation of airline data is performed per business rules that are tailored to the various types of data being reported.

Back Office Services

Data Management

Data Cleansing

No Reuse

50

The ARDIS Oracle data base respository is used and available for data quality analysis and preparation of press releases. ARDIS Oracle is used by OAI staff for on demand, custom, ad hoc airline data queries, in response to various requests from OST, FAA, DHS, Congress, the airlines, newpapers, etc.

Back Office Services

Data Management

Data Mart

No Reuse

50

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

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' 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.

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.

4. 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.

Component Framework

Presentation / Interface

Static Display

Hyper Text Markup Language (HTML)

Service Access and Delivery

Access Channels

Other Electronic Channels

Uniform Resource Locator (URL)

Service Access and Delivery

Delivery Channels

Intranet

Service Access and Delivery

Service Transport

Service Transport

Hyper Text Transfer Protocol (HTTP)

Service Interface and Integration

Interoperability

Data Transformation

Service Platform and Infrastructure

Database / Storage

Database

Oracle

Service Platform and Infrastructure

Delivery Servers

Application Servers

SAS

Service Platform and Infrastructure

Delivery Servers

Web Servers

Apache

Service Platform and Infrastructure

Hardware / Infrastructure

Servers / Computers

Enterprise Server

Service Platform and Infrastructure

Hardware / Infrastructure

Servers / Computers

Enterprise Server

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

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.

5. Will the application leverage existing components and/or applications across the Government (i.e., FirstGov, Pay.Gov, etc)?

No

   a. If "yes," please describe.

6. Does this investment provide the public with access to a government automated information system?

No

   a. If "yes," does customer access require specific software (e.g., a specific web browser version)?

      1. If "yes," provide the specific product name(s) and version number(s) of the required software and the date when the public will be able to access this investment by any software (i.e. to ensure equitable and timely access of government information and services).

Exhibit 300: Part III: For "Operation and Maintenance" investments ONLY (Steady State)

III.A. Risk Management

Part III should be completed only for investments which will be in "Operation and Maintenance" (Steady State) in FY 2008, i.e., selected the "Operation and Maintenance" choice 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.

Answer the following questions to describe how you are managing investment risks.

1. Does the investment have a Risk Management Plan?

Yes

   a. If "yes," what is the date of the plan?

7/19/2006

   b. Has the Risk Management Plan been significantly changed since last year's submission to OMB?

Yes

   c. If "yes," describe any significant changes:

High Risk/High Impact: Future funding for the RITA-OAI-Airline Data Program is dependent on Congressional action.

2. If there currently is no plan, will a plan be developed?

   a. If "yes," what is the planned completion date?

   b. If "no," what is the strategy for managing the risks?

III.B. Cost and Schedule Performance

1. Was operational analysis conducted?

Yes

   a. If "yes," provide the date the analysis was completed.

2/28/2006

   b. If "yes," what were the results?

CUSTOMER RESULTS: In the past and on going, OAI has regular meetings and discussions with key customers to ensure that the airline data are meeting their needs. OAI is documenting this customer feedback. As of August 2006, customer feedback has been positive. STRATEGIC and BUSINESS RESULTS: In the past and on going, the OAI COTR and the ARDIS IT staff work closely with and meet regularly with the OAI Data Administrators who use the ARDIS system to validate the various airline data that is reported to OAI. The OAI Data Administrators provide feedback to ensure that the investment is helping them get their job done. Discussions include a review of any new or enhanced validations and other system tools and functions that could enhance their ability to more efficiently and effectively process the airline data and produce the highest quality data products. OAI documents these requests for minor enhancements and has a process for development and implementation. FINANCIAL PERFORMANCE: The performance of the ARDIS system is within acceptable limits of cost and schedule variance. INNOVATION: Discussions with the RITA IRB provide formal consideration for how well this investment is meeting the needs of the Data Administrators who user the system and ultimately the users of the data, to ensure that the investment is providing what is needed, and whether or not combining this investment with some other investment in the future would be beneficial.

   c. If "no," please explain why it was not conducted and if there are any plans to conduct operational analysis in the future:

Complete the following table to compare actual cost performance against the planned cost performance baseline. Milestones reported may include specific individual scheduled preventative and predictable corrective maintenance activities, or may be the total of planned annual operation and maintenance efforts:

   a. What costs are included in the reported Cost/Schedule Performance information (Government Only/Contractor Only/Both)?

Contractor and Government

2. Comparison of Plan vs. Actual Performance Table

Comparison of Plan vs. Actual Performance Table