Exhibit 300 FY2009

 

 

 

 

 

Exhibit 300 FY2009  

 

 

PART I: SUMMARY INFORMATION AND JUSTIFICATION  

In Part I, complete Sections A, B, C, and D for all capital assets (IT and non-IT). Complete Sections E and F for IT capital assets.

 

 

 

Section A: Overview (All Capital Assets)  

The following series of questions are to be completed for all investments.

 

 

 

I. A. 1. Date of Submission:   

 

 

 

2007-09-10

 

 

I. A. 2. Agency:   

 

 

 

005

 

 

I. A. 3. Bureau:   

 

 

 

03

 

 

I. A. 4. Name of this Capital Asset:   

 

(short text - 250 characters)

 

 

Financial Management Modernization Initiative (FMMI)

 

 

I. A. 5. Unique Project (Investment) Identifier:   

 

For IT investment only, see section 53. For all other, use agency ID system.

 

 

005-03-01-01-01-1102-00

 

 

I. A. 6. What kind of investment will this be in FY2009?   

 

Please NOTE: Investments moving to O&M in FY2009, with Planning/Acquisition activities prior to FY2009 should not select O&M. These investments should indicate their current status.

 

 

Mixed Life Cycle

 

 

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

 

 

 

FY2007

 

 

I. A. 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:   

 

(long text - 2500 characters)

 

 

FMMI represents the USDA OCFO’s modernization of the outdated technology underlying the agency’s present core financial system environment and migration from the current distributed, multi-instance mainframe system to a federally compliant, consolidated, single-instance Web-based system. FMMI will replace the Corporate Financial Management System (CFMS) investment, of which the core financial system is the mainframe-based Foundation Financial Information System (FFIS). Through technology consolidation and modernization, FMMI will eliminate the need to operate and maintain certain USDA legacy feeder systems and the data warehouse that FFIS currently requires to produce timely external financial statements as well as the sole burden on USDA to maintain Federal Systems Integration Office (FSIO) compliance, which is no longer supported by the FFIS vendor. In addition to the process efficiencies resulting from technology consolidation and the cost savings associated with shifting the burden to the vendor for compliance maintenance, FMMI will also close performance gaps existing in the status quo, the CFMS investment, by providing on-demand search and reporting capabilities, functionality unavailable in the current mainframe environment but critical to the 14,000 USDA system users (which include agency CFOs and procurement and financial management personnel, etc.), and by providing a system that aligns with business processes, resulting in improved user efficiency. FMMI implementation is expected to be complete at the end of FY 2011, at which time, 19 legacy systems will have been replaced and approximately 70 Federal FTEs will have been transitioned to the new system. FMMI will enable USDA OCFO to continue to provide sound and efficient financial management in support of the USDA mission to enhance the quality of life for the American people. As the central financial system for the Department, FMMI aligns with the USDA Target EA and FEA, which demand the use of financial systems with flexible, open technology standards. FMMI supports the FMLOB by leveraging a shared service solution, which fosters efficiencies in USDA financial operations, as well as supports several PMA initiatives, with the strongest linkages being Improved Financial Management and Budget and Performance Integration.

 

 

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

 

 

 

yes

 

 

I. A. 9. a. If "yes," what was the date of this approval?   

 

 

 

2007-08-29

 

 

I. A. 10. Did the Project Manager review this Exhibit?   

 

 

 

yes

 

 

I. A. 11. Contact information of Project Manager  

 

 

Name   

 

(short text - 250 characters)

 

 

Wendy E. Snow

 

 

Phone Number   

 

(short text - 250 characters)

 

 

202-619-7636

 

 

E-mail   

 

(short text - 250 characters)

 

 

wendy.snow@usda.gov

 

 

I. A. 11. a. What is the current FAC-P/PM certification level of the project/program manager?   

 

 

 

TBD

 

 

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

 

 

 

no

 

 

I. A. 12. a. Will this investment include electronic assets (including computers)?   

 

 

 

yes

 

 

I. A. 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

 

 

I. A. 12. b. 1. If "yes," is an ESPC or UESC being used to help fund this investment?   

 

 

 

 

 

 

I. A. 12. b. 2. If "yes," will this investment meet sustainable design principles?   

 

 

 

 

 

 

I. A. 12. b. 3. If "yes," is it designed to be 30% more energy efficient than relevant code?   

 

 

 

 

 

 

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

 

 

 

yes

 

 

I. A. 13. a. If "yes," check all that apply:   

 

 

 

Budget Performance Integration

Financial Performance

 

 

I. A. 13. b. 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?)   

 

(medium text - 500 characters)

 

 

BUDGET/PERFORMANCE INTEGRATION. FMMI will track financial-related events in real time, enabling improved financial management of resources. IMPROVED FINANCIAL PERFORMANCE. FMMI will ensure that USDA maintains financial requirements/regulations compliance and clean audit opinion by implementing FSIO-compliant software and that USDA produces timely financial information to support budget and policy decisions by utilizing the latest Web technologies.

 

 

I. A. 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.)   

 

 

 

no

 

 

I. A. 14. a. If "yes," does this investment address a weakness found during the PART review?   

 

 

 

 

 

 

I. A. 14. b. If "yes," what is the name of the PARTed Program?   

 

(short text - 250 characters)

 

 

 

 

 

I. A. 14. c. If "yes," what PART rating did it receive?   

 

 

 

 

 

 

I. A. 15. Is this investment for information technology?   

 

 

 

yes

 

 

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

 

Level 1 - Projects with low-to-moderate complexity and risk. Example: Bureau-level project such as a stand-alone information system that has low- to-moderate complexity and risk.
Level 2 - Projects with high complexity and/or risk which are critical to the mission of the organization. Examples: Projects that are part of a portfolio of projects/systems that impact each other and/or impact mission activities. Department-wide projects that impact cross-organizational missions, such as an agency-wide system integration that includes large scale Enterprise Resource Planning (e.g., the DoD Business Mgmt Modernization Program).
Level 3 - Projects that have high complexity, and/or risk, and have government-wide impact. Examples: Government-wide initiative (E-GOV, President's Management Agenda). High interest projects with Congress, GAO, OMB, or the general public. Cross-cutting initiative (Homeland Security).

 

 

Level 3

 

 

I. A. 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;(2) Project manager qualification is under review for this investment;(3) Project manager assigned to investment, but does not meet requirements;(4) Project manager assigned but qualification status review has not yet started;(5) No Project manager has yet been assigned to this investment

 

 

(1) Project manager has been validated as qualified for this investment

 

 

I. A. 18. Is this investment identified as "high risk" on the Q4-FY 2007 agency high risk report (per OMB Memorandum M-05-23)?   

 

 

 

yes

 

 

I. A. 19. Is this a financial management system?   

 

 

 

yes

 

 

I. A. 19. a. If "yes," does this investment address a FFMIA compliance area?   

 

 

 

yes

 

 

I. A. 19. a. 1. If "yes," which compliance area   

 

(short text - 250 characters)

 

 

Chief Financial Officers Act of 1990

 

 

I. A. 19. a. 2. If "no," what does it address?   

 

(medium text - 500 characters)

 

 

 

 

 

I. 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 A-11 section 52   

 

(long text - 2500 characters)

 

 

Financial Management Modernization Initiative, FMMI

 

 

I. A. 20. What is the percentage breakout for the total FY2009 funding request for the following? (This should total 100%)  

 

 

I. A. 20. a. Hardware   

 

 

 

0

 

 

I. A. 20. b. Software   

 

 

 

10

 

 

I. A. 20. c. Services   

 

 

 

60

 

 

I. A. 20. d. Other   

 

 

 

30

 

 

I. A. 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

 

 

I. A. 22. Contact information of individual responsible for privacy related questions:  

 

 

I. A. 22. a. Name   

 

(short text - 250 characters)

 

 

Scott Roy

 

 

I. A. 22. b. Phone Number   

 

(short text - 250 characters)

 

 

504-426-5639

 

 

I. A. 22. c. Title   

 

(short text - 250 characters)

 

 

Information Systems Security Program Manager (ISSPM)

 

 

I. A. 22. d. E-mail   

 

(short text - 250 characters)

 

 

scott.roy@usda.gov

 

 

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

 

 

 

no

 

 

I. A. 24. Does this investment directly support one of the GAO High Risk Areas?   

 

Question 24 must be answered by all Investments:

 

 

no

 

 

Section B: Summary of Spending (All Capital Assets)  

 

 

I. B. 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.   

 

Note: For the cross-agency investments, this table should include all funding (both managing and partner agencies).
Government FTE Costs should not be included as part of the TOTAL represented.

 

 

 

PY-1 Spending Prior to 2007

PY 2007

CY 2008

BY 2009

BY+1 2010

BY+2 2011

BY+3 2012

BY+4 2013 and Beyond

Total

Planning

0

0

0

0

 

 

 

 

 

Acquisition

0

13.000

23.592

24.400

 

 

 

 

 

Subtotal Planning & Acquisition

0

13.000

23.592

24.400

 

 

 

 

 

Operations & Maintenance

0

0

5.363

14.286

 

 

 

 

 

TOTAL

0

13.000

28.955

38.686

 

 

 

 

 

Government FTE Costs

0

0

2.335

6.788

 

 

 

 

 

Number of FTE represented by cost

0

0

15

27.0

 

 

 

 

 

 

 

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

 

 

 

no

 

 

I. B. 2. a. If "yes," How many and in what year?   

 

(medium text - 500 characters)

 

 

 

 

 

I. B. 3. If the summary of spending has changed from the FY2008 President's budget request, briefly explain those changes.   

 

(long text - 2500 characters)

 

 

USDA submitted an increase of $43.46M above the FMMI baseline of $24.787M for FY 2009 with availability until expended. This increase will enable accelerated implementation of FMMI. By completing the implementation of FMMI in FY 2011, one year sooner than the FY 2007 President's budget request and our previous notional schedule, USDA will eliminate some agency material weaknesses sooner and allow the sunsetting of our current unsupported core financial management system (CFMS) and the associated O&M costs one year sooner. USDA revised the FMMI Acquisition Plan and FMMI Risk Management Plan in 2006 to reflect accelerated implementation of FMMI. USDA continues to routinely review and maintain FMMI supporting documentation, updating, or refreshing, such documentation when necessary.

 

 

Section C: Acquisition/Contract Strategy (All Capital Assets)  

 

 

I. C. 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.   

 

SIS - Share in Services contract; ESPC - Energy savings performance contract ; UESC - Utility energy efficiency service contract; EUL - Enhanced use lease contract; N/A - no alternative financing used.
(Character Limitations: Contract or Task Order Number - 250 Characters; Type of Contract/Task Order - 250 Characters; Name of CO - 250 Characters; CO Contact Information - 250 Characters)

 

 

 

 

 

I. C. 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:   

 

(long text - 2500 characters)

 

 

 

 

 

I. C. 3. Do the contracts ensure Section 508 compliance?   

 

 

 

 

 

 

I. C. 3. a. Explain Why:   

 

(medium text - 500 characters)

 

 

 

 

 

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

 

 

 

 

 

 

I. C. 4. a. If "yes," what is the date?   

 

 

 

 

 

 

I. C. 4. b. If "no," will an acquisition plan be developed?   

 

 

 

 

 

 

I. C. 4. b. 1. If "no," briefly explain why:   

 

(medium text - 500 characters)

 

 

 

 

 

Section D: Performance Information (All Capital Assets)  

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.

 

 

 

I. D. 1. Table 1. Performance Information Table   

 

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.

 

 

 

Strategic Goal(s) Supported

Measurement Area

Measurement Grouping

Measurement Indicator

Baseline

Target

Actual Results

2009

Strategic Goal # 4 - Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Mission and Business Results

Program Monitoring

Accounting: Maintain full federal financial system mandatory functionality

Maintaining compliance requires significant enhancements and workarounds to core financial management system

Maintain full compliance through core COTS system

Actual results to be recorded by end of Q4 FY09; reported by end of Q1 FY10

2009

Strategic Goal # 4 - Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Customer Results

Customer Satisfaction

Customer Satisfaction: Time it takes for customer to access desired data

5 - 10 minutes

Maintain current baseline as metric is contingent upon completion of implementation

Actual results to be recorded by end of Q4 FY09; reported by end of Q1 FY10

2009

Strategic Goal # 4 - Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Processes and Activities

Financial Management

Cycle Time: Number of days required to process year-end close of USDA books

3 days

Maintain baseline of 3 days. (FMMI will be in the planning stage during 2008; no improvements to the baseline are anticipated.

Actual results to be recorded by end of Q4 FY09; reported by end of Q1 FY10

2009

Strategic Goal # 4 - Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Technology

Operations and Maintenance Costs

Operations and Maintenance Costs: Maintenance costs, based on labor hours, required to support corporate systems that duplicate Core Financial functionality (e.g. data warehouse and feeder systems)

73,000 hours

Maintain baseline of 73,000 hours. (FMMI will be in the procurement and the beginning of the conversion phase during 2007; no improvements to the baseline are anticipated.)

Actual results to be recorded by end of Q4 FY09; recorded by end of Q1 FY10

2010

Strategic Goal # 4 - Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Mission and Business Results

Program Monitoring

Accounting: Maintain unqualified financial statement audit opinion

Unqualified (FY2004 Audit Opinion)

Maintain an unqualified audit opinion

Actual results to be recorded by end of Q4 FY10; reported by end of Q1 FY11

2010

Strategic Goal # 4 - Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Customer Results

Availability

Number of hours the system is online for users to perform business functions

15 hours

20 hours

Actual results to be recorded by end of Q4 FY10; reported by end of Q1 FY11

2010

Strategic Goal # 4 - Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Customer Results

Customer Satisfaction

Customer Satisfaction: Time it takes for customer to access desired data

5 - 10 minutes

5 minutes

Actual results to be recorded by end of Q4 FY10; reported by end of Q1 FY11

2010

Strategic Goal # 4 - Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Processes and Activities

Financial Management

Cycle Time: Number of days required to process year-end close of USDA books

3 days

Maintain baseline of 3 days. (FMMI will be in Phase I implementation during FY2009; no improvements to the baseline are anticipated.

Actual results to be recorded by end of Q4 FY10; reported by end of Q1 FY11

2010

Strategic Goal # 4 - Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Technology

Operations and Maintenance Costs

Operations and Maintenance Costs: Maintenance costs, based on labor hours, required to support corporate systems that duplicate Core Financial functionality (e.g. data warehouse and feeder systems)

73,000 hours

Maintain baseline of 73,000 hours. (FMMI will be in Phase I implementation during FY2009; no improvements to the baseline are anticipated.

Actual results to be recorded by end of Q4 FY10; reported by end of Q1 FY11

2010

Strategic Goal # 4 - Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Technology

Operations and Maintenance Costs

Overall Costs: Costs necessary to maintain technical infrastructure

TBD

Maintain baseline. (FMMI will be in Phase I implementation during FY09; no improvements to the baseline are anticipated.)

Actual results to be recorded by end of Q4 FY10; reported by end of Q1 FY11

 

 

Section E: Security and Privacy (IT Capital Assets only)  

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).

For existing Mixed-Life Cycle investments where enhancement, development, and/or modernization is planned, include the investment in both the “Systems in Planning” table (Table 3) and the “Operational Systems” table (Table 4). Systems which are already operational, but have enhancement, development, and/or modernization activity, should be included in both Table 3 and Table 4. Table 3 should reflect the planned date for the system changes to be complete and operational, and the planned date for the associated C&A update. Table 4 should reflect the current status of the requirements listed. In this context, information contained within Table 3 should characterize what updates to testing and documentation will occur before implementing the enhancements; and Table 4 should characterize the current state of the materials associated with the existing system.

All systems listed in the two security tables should be identified in the privacy table. The list of systems in the “Name of System” column of the privacy table (Table 8) should match the systems listed in columns titled “Name of System” in the security tables (Tables 3 and 4). For the Privacy table, it is possible that there may not be a one-to-one ratio between the list of systems and the related privacy documents. For example, one PIA could cover multiple systems. If this is the case, a working link to the PIA may be listed in column (d) of the privacy table more than once (for each system covered by the PIA).

 

 

 

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

 

 

 

 

 

 

I. E. 1. a. If "yes," provide the "Percentage IT Security" for the budget year:   

 

 

 

 

 

 

I. E. 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?   

 

 

 

 

 

 

I. E. 3. Systems in Planning and Undergoing Enhancement(s) – Security Table:   

 

The questions asking whether there is a PIA which covers the system and whether a SORN is required for the system are discrete from the narrative fields. The narrative column provides an opportunity for free text explanation why a working link is not provided. For example, a SORN may be required for the system, but the system is not yet operational. In this circumstance, answer “yes” for column (e) and in the narrative in column (f), explain that because the system is not operational the SORN is not yet required to be published.

 

 

 

 

 

I. E. 4. Operational Systems - Security:   

 

 

 

 

 

 

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

 

 

 

 

 

 

I. E. 5. a. If "yes," have those weaknesses been incorporated into the agency's plan of action and milestone process?   

 

 

 

 

 

 

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

 

 

 

 

 

 

I. E. 6. a. If "yes," specify the amount, provide a general description of the weakness, and explain how the funding request will remediate the weakness.   

 

(long text - 2500 characters)

 

 

 

 

 

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

 

(long text - 2500 characters)

 

 

 

 

 

I. E. 8. Planning & Operational Systems - Privacy Table:   

 

Details for Text Options:
Column (d): If yes to (c), provide the link(s) to the publicly posted PIA(s) with which this system is associated. If no to (c), provide an explanation why the PIA has not been publicly posted or why the PIA has not been conducted.

Column (f): If yes to (e), provide the link(s) to where the current and up to date SORN(s) is published in the federal register. If no to (e), provide an explanation why the SORN has not been published or why there isn’t a current and up to date SORN.

Note: Links must be provided to specific documents not general privacy websites.

 

 

 

 

 

Section F: Enterprise Architecture (EA) (IT Capital Assets only)  

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 Invesment 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.

 

 

 

I. F. 1. Is this investment included in your agency's target enterprise architecture?   

 

 

 

yes

 

 

I. F. 1. a. If "no," please explain why?   

 

(long text - 2500 characters)

 

 

 

 

 

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

 

 

 

yes

 

 

I. F. 2. a. If "yes," provide the investment name as identified in the Transition Strategy provided in the agency's most recent annual EA Assessment.   

 

(medium text - 500 characters)

 

 

Financial Management Modernization Initiative

 

 

I. F. 2. b. If "no," please explain why?   

 

(long text - 2500 characters)

 

 

 

 

 

I. F. 3. Is this investment identified in a completed (contains a target architecture) and approved segment architecture?   

 

 

 

no

 

 

I. F. 3. a. If "yes," provide the name of the segment architecture.   

 

(medium text - 500 characters)

 

 

 

 

 

I. F. 4. Service Component 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.egov.gov.

a. Use existing SRM Components or identify as “NEW”. A “NEW” component is one not already identified as a service component in the FEA SRM.
b. 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.
c. ‘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.
d. Please provide the percentage of the BY requested funding amount used for each service component listed in the table. If external, provide the percentage of the BY requested funding amount transferred to another agency to pay for the service. The percentages in this column can, but are not required to, add up to 100%.

 

 

 

Agency Component Description

FEA SRM Service Type

FEA SRM Component (a)

Service Component Reused - Component Name (b)

Service Component Reused - UPI (b)

Internal or External Reuse? (c)

BY Funding Percentage (d)

Decision Support and Planning

FMMI will support the analysis of information

Business Intelligence

Decision Support and Planning

 

 

No Reuse

1

Activity-Based Management

FMMI will support a defined, specific set of finance-related tasks for a given objective

Financial Management

Activity-Based Management

 

 

No Reuse

1

Auditing

FMMI will support the examination and verification of records for accuracy, including an audit trail of all financial transactions.

Financial Management

Auditing

 

 

No Reuse

2

Billing and Accounting

FMMI will support the charging, collection and reporting accounts

Financial Management

Billing and Accounting

 

 

No Reuse

3

Debt Collection

FMMI will support the process of accounts receivable

Financial Management

Debt Collection

 

 

No Reuse

1

Internal Controls

FMMI will support the methods and procedures used to safeguard assets, produce accurate accounting data and reports, contribute to efficient operations, and encourage staff to adhere to management policies and mission requirements

Financial Management

Internal Controls

 

 

No Reuse

2

Payment / Settlement

FMMI will support the process of accounts payable

Financial Management

Payment / Settlement

 

 

No Reuse

2

Revenue Management

FMMI will support the allocation and re-investment of earned net credit or capital within an agency and the department

Financial Management

Revenue Management

 

 

No Reuse

1

Program / Project management

Manage and control a particular effort of an organization

Management of Processes

Program / Project Management

 

 

No Reuse

1

Property / Asset Management

FMMI will support the acquisition, oversight, management, and control of USDA assets through integration with USDA asset / property management systems

Asset / Materials Management

Property / Asset Management

 

 

No Reuse

1

Decision Support and Planning

FMMI will integrate with USDA's electronic management system in accordance with NARA guidelines.

Records Management

Record Linking / Association

 

 

No Reuse

1

Change Management

The USDA Corporate Financial Systems Configuration Control Board provides change management support to agencies in order to support the new financial processes and policies of the USDA.

Management of Processes

Change Management

 

 

No Reuse

1

Business Rule Management

The FMMI system will provide financial and process management controls such as approval chains and role based user profile configuration.

Management of Processes

Business Rule Management

 

 

No Reuse

1

Online Help

FMMI will provide online help for field descriptions, FAQs, and links to other sites, including FSIO.

Customer Initiated Assistance

Online Help

 

 

No Reuse

1

Online Tutorials

Web-based training for FMMI will be deployed as part of the implementation. They will be updated to keep current with each release. User guides will also be created and will be accessible from the FMMI web site.

Customer Initiated Assistance

Online Tutorials

 

 

No Reuse

1

Process Tracking

FMMI will provide multiple reports and workflow notifications for the financial community to track workload and transaction status.

Tracking and Workflow

Process Tracking

 

 

No Reuse

2

Records Management

FMMI will store a record of each transaction created in FMMI.

Document Management

Library / Storage

 

 

No Reuse

2

Ad-Hoc

FMMI will support ad-hoc queries and reports for dynamic financial reporting.

Reporting

Ad Hoc

 

 

No Reuse

1

Standardized / Canned

FMMI supports standardized reports for financial management reporting.

Reporting

Standardized / Canned

 

 

No Reuse

1

OLAP

FMMI will integrate with standard OLAP reporting tools.

Reporting

OLAP

 

 

No Reuse

1

Data

FMMI will provide an enterprise financial data warehouse (FDW) which contains financial data elements.

Data Management

Data Warehouse

 

 

No Reuse

2

Extraction

The FMMI FDW can be queried for data extraction and analysis through third party OLAP tools.

Data Management

Extraction and Transformation

 

 

No Reuse

1

Loading

FMMI data will be archived both in the FMMI system and the FDW.

Data Management

Loading and Archiving

 

 

No Reuse

1

Data

FMMI Will have an architecture that enables data recovery within required service levels.

Data Management

Data Recovery

 

 

No Reuse

0

Enterprise Application Integration

Interfaces will be established between FMMI and IAS, CPAIS,E-Government Travel, the FDW, and a number of agency mission feeder systems.

Development and Integration

Enterprise Application Integration

 

 

No Reuse

5

User Authentication and Access Control

Users may only access FMMI through the USDA WAN by providing correct user identification and passwords.

Security Management

Identification and Authentication

 

 

No Reuse

2

User Authentication and Access Control

FMMI User access will be managed based on roles defined in the user profiles. These profiles are managed by the FMMI Help Desk or the Agencies.

Security Management

Identification and Authentication

 

 

No Reuse

0

User Authentication and Access Control

FMMI will support 128 bit encryption and Secure Socket Layer (SSL) for authentication and validation.

Security Management

Cryptography

 

 

No Reuse

0

User Authentication and Access Control

FMMI will support central management of users both manually and by system rules, such as password expiration requirements

Security Management

Access Control

 

 

No Reuse

0

User Authentication and Access Control

Based on access rights, FMMI users can log in only to specific modules and capabilities based on their designated role and controlled by their user name and password.

Security Management

Access Control

 

 

No Reuse

0

Audit Trail Capture and Analysis

The activities of FMMI users that result in creating and modifying records will be tracked in FMMI to provide an audit trail of all activities which can be used for auditing.

Security Management

Audit Trail Capture and Analysis

 

 

No Reuse

1

 

 

I. F. 5. Table 1. 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.

a. 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
b. 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.

 

 

 

FEA TRM Service Area

FEA TRM Service Category

FEA TRM Service Standard

Service Specification (i.e., vendor and product name)

Decision Support and Planning

Service Access and Delivery

Access Channels

Web Browser

Microsoft Internet Explorer, Mozilla, ODBC, Oracle, Sec. 508, SSL, SAN, Win 2003, Win XP

Decision Support and Planning

Service Access and Delivery

Service Requirements

Legislative / Compliance

To be determined upon contract award

Decision Support and Planning

Component Framework

Data Management

Reporting and Analysis

To be determined upon contract award

Activity-Based Management

Service Access and Delivery

Access Channels

Web Browser

Microsoft Internet Explorer, Mozilla, ODBC, Oracle, Sec. 508, SSL, SAN, Win 2003, Win XPMicrosoft Internet E

Activity-Based Management

Service Access and Delivery

Delivery Channels

Intranet

To be determined upon contract award

Auditing

Service Access and Delivery

Service Requirements

Legislative / Compliance

To be determined upon contract award

Auditing

Component Framework

Data Management

Reporting and Analysis

To be determined upon contract award

Billing and Accounting

Service Access and Delivery

Access Channels

Web Browser

Microsoft Internet Explorer, Mozilla, ODBC, Oracle, Sec. 508, SSL, SAN, Win 2003, Win XP

Billing and Accounting

Service Access and Delivery

Delivery Channels

Intranet

To be determined upon contract award

Billing and Accounting

Service Access and Delivery

Service Requirements

Legislative / Compliance

To be determined upon contract award

Debt Collection

Service Access and Delivery

Access Channels

Web Browser

Microsoft Internet Explorer, Mozilla, ODBC, Oracle, Sec. 508, SSL, SAN, Win 2003, Win XP

Internal Controls

Service Access and Delivery

Access Channels

Web Browser

Microsoft Internet Explorer, Mozilla, ODBC, Oracle, Sec. 508, SSL, SAN, Win 2003, Win XP

Internal Controls

Component Framework

Data Management

Reporting and Analysis

To be determined upon contract award

Payment / Settlement

Service Access and Delivery

Access Channels

Web Browser

Microsoft Internet Explorer, Mozilla, ODBC, Oracle, Sec. 508, SSL, SAN, Win 2003, Win XP

Revenue Management

Service Access and Delivery

Access Channels

Web Browser

Microsoft Internet Explorer, Mozilla, ODBC, Oracle, Sec. 508, SSL, SAN, Win 2003, Win XP

Program / Project Management

Service Interface and Integration

Integration

Enterprise Application Integration

To be determined upon contract award

Property / Asset Management

Service Interface and Integration

Interface

Service Description / Interface

To be determined upon contract award

Record Linking / Association

Service Access and Delivery

Service Requirements

Hosting

To be determined upon contract award

Change Management

Service Access and Delivery

Service Requirements

Legislative / Compliance

To be determined upon contract award.

Business Rule Management

Service Access and Delivery

Access Channels

Web Browser

To be determined upon contract award.

Business Rule Management

Service Access and Delivery

Service Requirements

Legislative / Compliance

To be determined upon contract award.

Online Help

Component Framework

Presentation / Interface

Dynamic Server-Side Display

To be determined upon contract award.

Online Help

Service Access and Delivery

Access Channels

Web Browser

To be determined upon contract award.

Online Tutorials

Component Framework

Presentation / Interface

Static Display

To be determined upon contract award.

Online Tutorials

Service Access and Delivery

Access Channels

Web Browser

To be determined upon contract award.

Process Tracking

Component Framework

Business Logic

Platform Dependent

To be determined upon contract award.

Process Tracking

Service Platform and Infrastructure

Database / Storage

Database

To be determined upon contract award.

Process Tracking

Service Platform and Infrastructure

Support Platforms

Platform Dependent

To be determined upon contract award.

Process Tracking

Service Access and Delivery

Hardware / Infrastructure

Wide Area Network (WAN)

To be determined upon contract award.

Library / Storage

Service Platform and Infrastructure

Database / Storage

Database

To be determined upon contract award.

Library / Storage

Service Platform and Infrastructure

Support Platforms

Platform Dependent

To be determined upon contract award.

Ad Hoc

Component Framework

Data Management

Reporting and Analysis

To be determined upon contract award.

Ad Hoc

Component Framework

Business Logic

Platform Dependent

To be determined upon contract award.

Standardized / Canned

Component Framework

Data Management

Reporting and Analysis

To be determined upon contract award.

Standardized / Canned

Component Framework

Business Logic

Platform Dependent

To be determined upon contract award.

OLAP

Component Framework

Data Management

Reporting and Analysis

To be determined upon contract award.

Data Warehouse

Service Platform and Infrastructure

Database / Storage

Database

To be determined upon contract award.

Data Warehouse

Service Platform and Infrastructure

Support Platforms

Platform Dependent

To be determined upon contract award.

Extraction and Transformation

Component Framework

Data Management

Reporting and Analysis

To be determined upon contract award.

Loading and Archiving

Service Platform and Infrastructure

Database / Storage

Storage

To be determined upon contract award.

Loading and Archiving

Service Platform and Infrastructure

Support Platforms

Platform Dependent

To be determined upon contract award.

Data Recovery

Service Platform and Infrastructure

Database / Storage

Database

To be determined upon contract award.

Data Recovery

Service Platform and Infrastructure

Support Platforms

Platform Dependent

To be determined upon contract award.

Enterprise Application Integration

Service Interface and Integration

Integration

Enterprise Application Integration

To be determined upon contract award.

Enterprise Application Integration

Service Interface and Integration

Interface

Service Description / Interface

To be determined upon contract award.

Enterprise Application Integration

Service Access and Delivery

Delivery Channels

Internet

To be determined upon contract award.

Identification and Authentication

Component Framework

Business Logic

Platform Dependent

To be determined upon contract award.

Identification and Authentication

Service Platform and Infrastructure

Database / Storage

Database

To be determined upon contract award.

Identification and Authentication

Service Platform and Infrastructure

Support Platforms

Platform Dependent

To be determined u pon contract award.

Cryptography

Component Framework

Business Logic

Platform Dependent

To be determined upon contract award.

Cryptography

Service Platform and Infrastructure

Database / Storage

Database

To be determined upon contract award.

Cryptography

Service Platform and Infrastructure

Support Platforms

Platform Dependent

To be determined upon contract award.

Access Control

Component Framework

Business Logic

Platform Dependent

To be determined upon contract award.

Access Control

Service Platform and Infrastructure

Database / Storage

Database

To be determined upon contract award.

Access Control

Service Platform and Infrastructure

Support Platforms

Platform Dependent

To be determined upon contract award.

Audit Trail Capture and Analysis

Component Framework

Business Logic

Platform Dependent

To be determined upon contract award.

Audit Trail Capture and Analysis

Service Platform and Infrastructure

Database / Storage

Database

To be determined upon contract award.

Audit Trail Capture and Analysis

Service Platform and Infrastructure

Support Platforms

Platform Dependent

To be determined upon contract award.

 

 

I. F. 6. Will the application leverage existing components and/or applications across the Government (i.e., FirstGov, Pay.Gov, etc)?   

 

 

 

yes

 

 

I. F. 6. a. If "yes," please describe.   

 

(long text - 2500 characters)

 

 

FMMI will interface with FedTrip, an e-Government Travel system.

 

 

PART II: PLANNING, ACQUISITION AND PERFORMANCE INFORMATION  

Part II should be completed only for investments identified as “Planning” or “Full-Acquisition,” or “Mixed Life-Cycle” investments in response to Question 6 in Part I, Section A above

 

 

 

Section A: Alternatives Analysis (All Capital Assets)  

In selecting the best capital asset, you should identify and consider at least three viable alternatives, in addition to the current baseline, i.e., the status quo. Use OMB Circular A-94 for all investments and the Clinger Cohen Act of 1996 for IT investments to determine the criteria you should use in your Benefit/Cost Analysis.

 

 

 

II. A. 1. Did you conduct an alternatives analysis for this project?   

 

 

 

yes

 

 

II. A. 1. a. If "yes," provide the date the analysis was completed?   

 

 

 

2007-02-07

 

 

II. A. 1. b. If "no," what is the anticipated date this analysis will be completed?   

 

 

 

 

 

 

II. A. 1. c. If no analysis is planned, please briefly explain why:   

 

(medium text - 500 characters)

 

 

 

 

 

II. A. 2. Use the results of your alternatives analysis to complete the following table:   

 

(Character Limitations: Alternative Analyzed - 250 characters; Description of Alternative - 500 Characters)

 

 

 

Description of Alternative

Risk Lifecycle Cost Estimate

Risk Lifecycle Benefits Estimate

 

 

 

 

 

 

 

 

Alt 3: In-House Solution, where USDA offers hosting services to other agencies and becomes a COE itself

USDA chooses an FSIO/JFMIP-certified, COTS financial management software product, implements the product with implementation and integration support from a private contractor, and hosts the system in-house, supporting the FMLOB. Alt 3 would have less impact on the present state of financial management operations at USDA as USDA currently hosts its own system, and most of the infrastructure is already in place to host the new system. Security is not at risk as with Alts 1 and 2.

$690.025

$374.669

 

 

 

 

 

 

II. A. 3. Which alternative was selected by the Agency's Executive/Investment Committee and why was it chosen?   

 

(long text - 2500 characters)

 

 

Based on the AA/CBA, Alt 3, In-House Solution, is the selected alternative. Relative to the other alternatives considered, Alt 3 is expected to deliver the best combination of value, cost, and risk. Specifically, it is less costly and less risky than the other alternatives--with the lowest risk lifecycle cost estimate and the lowest risk score/factor of the four--and is anticipated to provide USDA with greater benefits (both financial and non-financial) compared to the other alternatives. In addition, Alt 3 has the highest Savings to Investment Ratio (SIR) at 1.25.

 

 

II. A. 4. What specific qualitative benefits will be realized?   

 

(long text - 2500 characters)

 

 

The AA/CBA was prepared using the Value Measuring Methodology (VMM). Of the five VMM value factors, USDA prioritized Government Operational and Foundational Value as the most significant form of qualitative value an alternative could provide the Govt. The benefit analysis determined that Alt 3 provided the most qualitative value to the Govt in this value area; more specifically, in the second layer measures of Quality of Service and Capacity/Scalability. Concerning Quality of Service, USDA expects to contract with the vendor of its selected software for implementation support, and the partnership between ACFO-FS staff and vendor staff is expected to result in implementation services that are very responsive to USDA needs. USDA also has most of the infrastructure in place to host the system, and has a proven track record. Regarding Capacity/Scalability, USDA is currently hosting its own financial system and understands its own scalability requirements. Additionally, USDA will have the greatest degree of management control and access to supporting contractors under Alt 3, relative to the other alternatives. Although the AA/CBA resulted in Alt 3, In-House Solution, as the best value to the government, in accordance with FMLoB guidance, USDA will conduct open-market competitions for the software and integration, and hosting services for FMMI.

 

 

II. A. 5. Will the selected alternative replace a legacy system in-part or in-whole?   

 

 

 

yes

 

 

II. A. 5. a. If “yes,” are the migration costs associated with the migration to the selected alternative included in this investment, the legacy investment, or in a separate migration investment?   

 

 

 

This Investment

 

 

II. A. 5. b. Table 1. If "yes," please provide the following information:   

 

 

 

 

UPI if available

Date of the System Retirement

Corporate Financial Management Systems

005-03-01-01-01-1000-00

2012-09-30

 

 

Section B: Risk Management (All Capital Assets)  

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.

 

 

 

II. B. 1. Does the investment have a Risk Management Plan?   

 

 

 

yes

 

 

II. B. 1. a. If "yes," what is the date of the plan?   

 

 

 

2007-07-17

 

 

II. B. 1. b. Has the Risk Management Plan been significantly changed since last year's submission to OMB?   

 

 

 

no

 

 

II. B. 1. c. If "yes," describe any significant changes:   

 

(long text - 2500 characters)

 

 

 

 

 

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

 

 

 

 

 

 

II. B. 2. a. If "yes," what is the planned completion date?   

 

 

 

 

 

 

II. B. 2. b. If "no," what is the strategy for managing the risks?   

 

(long text - 2500 characters)

 

 

 

 

 

II. B. 3. Briefly describe how investment risks are reflected in the life cycle cost estimate and investment schedule:   

 

(long text - 2500 characters)

 

 

Lifecycle costs for the alternatives are risk adjusted. Risks (including corresponding mitigation strategies) associated with the FMMI investment were identified within each of the 19 risk categories required by OMB and then evaluated to determine whether they had low, medium, or high likelihood of occurrence and whether they would result in low, medium, or high impact on costs if they materialized. Numerical probabilities were then defined for each level of risk and degree of risk impact, respectively. These numerical factors (or risk impact and probability scores) were applied to the appropriate individual cost elements. This process produced risk-adjusted costs for the status quo and alternatives, with the results indicating that Alternative 1 has a risk score/factor of 22%; Alternative 2, 20%; Alternative 3, 15%; and Alternative 4, 21%. The Base Case has a risk score/factor of 17%. Risks factored into determining the score include the following: Schedule (Implementation Complexity), Schedule (Labor), Initial Costs and Lifecycle Costs.

 

 

Section C: Cost and Schedule Performance (All Capital Assets)  

EVM is required only on DME portions of investments. For mixed lifecycle investments, O&M milestones should still be included in the table (Comparison of Initial Baseline and Current Approved Baseline). This table should accurately reflect the milestones in the initial baseline, as well as milestones in the current baseline.

 

 

 

II. C. 1. Does the earned value management system meet the criteria in ANSI/EIA Standard - 748?   

 

 

 

 

 

 

II. C. 2. Is the CV or SV greater than 10%?   

 

 

 

 

 

 

II. C. 2. a. If "yes," was it the CV or SV or both ?   

 

 

 

 

 

 

II. C. 2. b. If "yes," explain the causes of the variance:   

 

(long text - 2500 characters)

 

 

 

 

 

II. C. 2. c. If "yes," describe the corrective actions:   

 

(long text - 2500 characters)

 

 

 

 

 

II. C. 3. Has the investment re-baselined during the past fiscal year?   

 

 

 

 

 

 

II. C. 3. a. If "yes," when was it approved by the agency head?   

 

 

 

 

 

 

II. C. 4. Comparison of Initial Baseline and Current Approved Baseline   

 

Complete the following table to compare actual performance against the current performance baseline and to the initial performance baseline. In the Current Baseline section, for all milestones listed, you should provide both the baseline and actual completion dates (e.g., “03/23/2003”/ “04/28/2004”) and the baseline and actual total costs (in $ Millions). In the event that a milestone is not found in both the initial and current baseline, leave the associated cells blank. Note that the ‘Description of Milestone’ and ‘Percent Complete’ fields are required. Indicate ‘0’ for any milestone no longer active. (Character Limitations: Description of Milestone - 500 characters)

 

 

 

 

 

PART III: FOR "OPERATION AND MAINTENANCE" INVESTMENTS ONLY (STEADY-STATE)  

Part III should be completed only for investments identified as "Operation and Maintenance" (Steady State) in response to Question 6 in Part I, Section A above.

 

 

 

Section A: Risk Management (All Capital Assets)  

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.

 

 

 

III. A. 1. Does the investment have a Risk Management Plan?   

 

 

 

 

 

 

III. A. 1. a. If "yes," what is the date of the plan?   

 

 

 

 

 

 

III. A. 1. b. Has the Risk Management Plan been significantly changed since last year's submission to OMB?   

 

 

 

 

 

 

III. A. 1. c. If "yes," describe any significant changes:   

 

(long text - 2500 characters)

 

 

 

 

 

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

 

 

 

 

 

 

III. A. 2. a. If "yes," what is the planned completion date?   

 

 

 

 

 

 

III. A. 2. b. If "no," what is the strategy for managing the risks?   

 

(long text - 2500 characters)

 

 

 

 

 

Section B: Cost and Schedule Performance (All Capital Assets)  

 

 

III. B. 1. Was operational analysis conducted?   

 

 

 

 

 

 

III. B. 1. a. If "yes," provide the date the analysis was completed.   

 

 

 

 

 

 

III. B. 1. b. If "yes," what were the results?   

 

(long text - 2500 characters)

 

 

 

 

 

III. B. 1. c. If "no," please explain why it was not conducted and if there are any plans to conduct operational analysis in the future:   

 

(long text - 2500 characters)

 

 

 

 

 

III. B. 2. 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).  

(Character Limitations: Description of Milestone - 250 Characters)

 

 

 

III. B. 2. a. What costs are included in the reported Cost/Schedule Performance information (Government Only/Contractor Only/Both)?   

 

 

 

 

 

 

III. B. 2. b. Comparison of Planned and Actual Cost   

 

 

 

 

 

 

PART IV: Planning For "Multi-Agency Collaboration" ONLY  

Part IV should be completed only for investments identified as an E-Gov initiative, an Line of Business (LOB) Initiative, or a Multi-Agency Collaboration effort., selected the “Multi-Agency Collaboration” choice in response to Question 6 in Part I, Section A above. Investments identified as “Multi-Agency Collaboration” will complete only Parts I and IV of the exhibit 300.

 

 

 

Section A: Multi-Agency Collaboration Oversight (All Capital Assets)  

Multi-agency Collaborations, such as E-Gov and LOB initiatives, should develop a joint exhibit 300.

 

 

 

IV. A. 1. Stakeholder Table   

 

As a joint exhibit 300, please identify the agency stakeholders. Provide the partner agency and partner agency approval date for this joint exhibit 300.

 

 

 

 

 

IV. A. 2. Partner Capital Assets within this Investment   

 

Provide the partnering strategies you are implementing with the participating agencies and organizations. Identify all partner agency capital assets supporting the common solution (section 300.7); Managing Partner capital assets should also be included in this joint exhibit 300. These capital assets should be included in the Summary of Spending table of Part I, Section B. All partner agency migration investments (section 53.4) should also be included in this table. Funding contributions/fee-for-service transfers should not be included in this table. (Partner Agency Asset UPIs should also appear on the Partner Agency's exhibit 53)

 

 

 

 

 

IV. A. 3. Partner Funding Strategies ($millions)   

 

For jointly funded initiative activities, provide in the “Partner Funding Strategies Table”: the name(s) of partner agencies; the UPI of the partner agency investments; and the partner agency contributions for CY and BY. Please indicate partner contribution amounts (in-kind contributions should also be included in this amount) and fee-for-service amounts. (Partner Agency Asset UPIs should also appear on the Partner Agency's exhibit 53. For non-IT fee-for-service amounts the Partner exhibit 53 UPI can be left blank) (IT migration investments should not be included in this table)

 

 

 

 

 

IV. A. 4. Did you conduct an alternatives analysis for this project?   

 

 

 

 

 

 

IV. A. 4. a. If "yes," provide the date the analysis was completed?   

 

 

 

 

 

 

IV. A. 4. b. If "no," what is the anticipated date this analysis will be completed?   

 

 

 

 

 

 

IV. A. 4. c. If no analysis is planned, please briefly explain why:   

 

(medium text - 500 characters)

 

 

 

 

 

IV. A. 5. Use the results of your alternatives analysis to complete the following table:   

 

 

 

 

 

 

IV. A. 6. Which alternative was selected by the Initiative Governance process and why was it chosen?   

 

(long text - 2500 characters)

 

 

 

 

 

IV. A. 7. What specific qualitative benefits will be realized?   

 

(long text - 2500 characters)

 

 

 

 

 

IV. A. 8. Table 1. Federal Quantitative Benefits ($millions):   

 

What specific quantitative benefits will be realized (using current dollars)
Use the results of your alternatives analysis to complete the following table:

 

 

 

 

 

IV. A. 9. Will the selected alternative replace a legacy system in-part or in-whole?   

 

 

 

 

 

 

IV. A. 9. a. If "yes," are the migration costs associated with the migration to the selected alternative included in this investment, the legacy investment, or in a separate migration investment?   

 

 

 

 

 

 

IV. A. 9. b. Table 1. If "yes," please provide the following information:   

 

 

 

 

 

 

Section B: Risk Management (All Capital Assets)  

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.

 

 

 

IV. B. 1. Does the investment have a Risk Management Plan?   

 

 

 

 

 

 

IV. B. 1. a. If "yes," what is the date of the plan?   

 

 

 

 

 

 

IV. B. 1. b. Has the Risk Management Plan been significantly changed since last year's submission to OMB?   

 

 

 

 

 

 

IV. B. 1. c. If "yes," describe any significant changes:   

 

(long text - 2500 characters)

 

 

 

 

 

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

 

 

 

 

 

 

IV. B. 2. a. If "yes," what is the planned completion date?   

 

 

 

 

 

 

IV. B. 2. b. If "no," what is the strategy for managing the risks?   

 

(long text - 2500 characters)

 

 

 

 

 

Section C: Cost and Schedule Performance (All Capital Assets)  

You should also periodically be measuring the performance of operational assets against the baseline established during the planning or full acquisition phase (i.e., operational analysis), and be properly operating and maintaining the asset to maximize its useful life. Operational analysis may identify the need to redesign or modify an asset by identifying previously undetected faults in design, construction, or installation/integration, highlighting whether actual operation and maintenance costs vary significantly from budgeted costs, or documenting that the asset is failing to meet program requirements.

EVM is required only on DME portions of investments. For mixed lifecycle investments, O&M milestones should still be included in the table (Comparison of Initial Baseline and Current Approved Baseline). This table should accurately reflect the milestones in the initial baseline, as well as milestones in the current baseline.

Answer the following questions about the status of this investment. Include information on all appropriate capital assets supporting this investment except for assets in which the performance information is reported in a separate exhibit 300.

 

 

 

IV. C. 1. Are you using EVM to manage this investment?   

 

 

 

 

 

 

IV. C. 1. a. If "yes," does the earned value management system meet the criteria in ANSI/EIA Standard - 748?   

 

 

 

 

 

 

IV. C. 1. b. If "no," explain plans to implement EVM:   

 

(long text - 2500 characters)

 

 

 

 

 

IV. C. 1. c. If "N/A," please provide date operational analysis was conducted and a brief summary of the results?   

 

(long text - 2500 characters)

 

 

 

 

 

IV. C. 2. Is the CV% or SV% greater than ± 10%? (CV% = CV/EV x 100; SV% = SV/PV x 100)   

 

NOT applicable for capital assets with ONLY O&M.

 

 

 

 

 

IV. C. 2. a. If "yes," was it the CV or SV or both ?   

 

 

 

 

 

 

IV. C. 2. b. If "yes," explain the causes of the variance:   

 

(long text - 2500 characters)

 

 

 

 

 

IV. C. 2. c. If "yes," describe the corrective actions:   

 

(long text - 2500 characters)

 

 

 

 

 

IV. C. 3. Has the investment re-baselined during the past fiscal year?   

 

Applicable to ALL capital assets

 

 

 

 

 

IV. C. 3. a. If "yes," when was it approved by the agency head?   

 

Applicable to ALL capital assets

 

 

 

 

 

IV. C. 4. Comparison of Initial Baseline and Current Approved Baseline   

 

Complete the following table to compare actual performance against the current performance baseline and to the initial performance baseline. In the Current Baseline section, for all milestones listed, you should provide both the baseline and actual completion dates (e.g., “03/23/2003”/ “04/28/2004”) and the baseline and actual total costs (in $ Millions). In the event that a milestone is not found in both the initial and current baseline, leave the associated cells blank. Note that the ‘Description of Milestone’ and ‘Percent Complete’ fields are required. Indicate ‘0’ for any milestone no longer active.

 

 

 

 

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