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:   

 

 

 

55

 

 

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

 

(short text - 250 characters)

 

 

Multi-Family Management - MFM

 

 

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

 

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

 

 

005-55-01-01-01-1010-00

 

 

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.

 

 

Operations and Maintenance

 

 

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

 

 

 

FY2001 or earlier

 

 

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)

 

 

The Multi-Family Management (MFM) investment consists of the Multi-Family Integrated System (MFIS), the Management Interactive Network Connection (MINC) and the Automated Multi-Housing Accounting System (AMAS). Rural Development developed the MFIS to replace and integrate the three independent computer systems which supported the Multi-Family Housing (MFH) program. These three systems were the MFIS, Multi-Family Tenant File System (MTFS) and the AMAS. This re-engineering effort provided an interface between MFIS and AMAS. In addition, an automated industry interface process that collects tenant, budget and payment data from the project's management agents was also reengineered. The new MFIS integrates the calculation and collection of MFH loan payment information from the field with AMAS to produce a seamless process for calculating and processing MFH loan payment information. The MFIS project was a collaborative effort between Rural Development (RD) and 13 private software vendor companies. These companies develop and provide project management software to our borrowers and management agents. As output from this software, an EDI file is generated for project tenant, budget and payment information. The file is then transmitted electronically to MFIS via the MFIS industry interface process. MFIS is included in the USDA’s Enterprise Architectures. It is a major Level 1 investment in the USDA CPIC process and in the steady state phase. MFIS is represented in and is aligned with the USDA Enterprise Architecture (EA) and the EA repository. Planning is underway to consolidate this investment, along with several other major investments, into a single access, citizen-centered internet store front for USDA loan originating/servicing needs.

 

 

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)

 

 

Glen M. Boeckmann

 

 

Phone Number   

 

(short text - 250 characters)

 

 

314-335-8598

 

 

E-mail   

 

(short text - 250 characters)

 

 

glennon.boeckmann@stl.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:   

 

 

 

Financial Performance

Expanded E-Government

 

 

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)

 

 

Advances Financial Performance by providing more accurate and timely data to support operating, budget, and policy decisions. Alignment with Expansion E-Government demonstrated with eforms integrated with Business Gateway; web interface complying with DR3430-001; users utilizing AgLearn for security awareness training; MFIS fronted by eAuthentication; loan program information posted on GovLoans Gateway; and grant applications available on Grants.gov and electronically transported to USDA.

 

 

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.)   

 

 

 

yes

 

 

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

 

 

 

yes

 

 

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

 

(short text - 250 characters)

 

 

USDA Multi Family Housing Direct Loans and Rental Assistance

 

 

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

 

 

 

Moderately Effective

 

 

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 1

 

 

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)?   

 

 

 

no

 

 

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

 

 

 

yes

 

 

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

 

 

 

no

 

 

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

 

(short text - 250 characters)

 

 

 

 

 

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

 

(medium text - 500 characters)

 

 

MFIS is used to collect payment information from the borrowers or their Management Agents which is then passed to the Automated Multi Housing Accounting System for update to the borrower's accounts. While MFIS collects the data, all General Ledger and financial reporting is accomplished in the accounting system.

 

 

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)

 

 

Multi Family Integrated System (MFIS) and Automated Multi Housing Accounting System (AMAS)

 

 

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   

 

 

 

0

 

 

I. A. 20. c. Services   

 

 

 

100

 

 

I. A. 20. d. Other   

 

 

 

0

 

 

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)

 

 

Brenda Dinges

 

 

I. A. 22. b. Phone Number   

 

(short text - 250 characters)

 

 

314-335-8829

 

 

I. A. 22. c. Title   

 

(short text - 250 characters)

 

 

RD Information Systems Security Staff Program Manager

 

 

I. A. 22. d. E-mail   

 

(short text - 250 characters)

 

 

Brenda.Dinges@stl.usda.gov

 

 

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

 

 

 

yes

 

 

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

0.400

0

0

0

 

 

 

 

 

Acquisition

7.560

0

0

0

 

 

 

 

 

Subtotal Planning & Acquisition

7.960

0

0

0

 

 

 

 

 

Operations & Maintenance

3.218

3.870

3.820

2.200

 

 

 

 

 

TOTAL

11.178

3.870

3.820

2.200

 

 

 

 

 

Government FTE Costs

4.435

0.820

0.840

1.782

 

 

 

 

 

Number of FTE represented by cost

14

8

8

16.5

 

 

 

 

 

 

 

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)

 

 

There are no changes.

 

 

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

2005

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Load levels

# of supervisory activities performed annually

170,000 Activities Annually

Increase to 180,000 activities annually

As of September 30, 2005, over 182,000 activities were performed.

2005

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Internal Data Sharing

# of reports available through MFIS

28

Increase to 35 with phase 4 implementation

As of September 30, there are now 35 reports available in MFIS.

2005

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Availability

% of time MFIS is available to end-users

98%

99% availability

As of September 30, the system has been available 99% of the time.

2005

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Internal Data Sharing

% of MFIS data available in the MFH data warehouse

80%

95% after phase 4 implementation

100% of MFIS data is now available in the Tabular data warehouse.

2005

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Load levels

# of simultaneous end-users that can be supported by MFIS

1,000

1,500

As of September 30, 2,000 concurrent users are being supported by MFIS.

2005

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Cycle Time

Average lag time for AMAS data changes to reach MFIS.

Weekly

Daily

Emergency modifications can now be implemented within one day.

2005

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Productivity

% of RD servicing specialists reporting time savings compiling and processing data for monthly payments

90%

To increase to 100% within 12 months after phase 4 implementation

Phase 4 has permited 100% of all RD Servicing Specialists to realize time savings when processing monthly payments.

2005

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Complaints

# of customer complaints received at the Centralized Help Desk each month related to MFIS

135

Reduce to 90

As of September 30, 87 customer complaints were received via CHD.

2005

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Security

Review of the MFIS FISMA Risk Assessment Report for Improvements

Review and Update Report Every Six Months

Perform Review and Update Monthly

As of September 30, the FISMA report is being reviewed and updated Monthly.

2005

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Productivity

% of properties having had Annual Physical Inspections (Walkabouts) performed

80%

90%

As of September 30, physical inspections had been performed on 88% of the total MFH projects.

2005

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Customer Satisfaction

% of customers indicating overall satisfaction with MFIS

70%

80%

As of September 30, CHD reports that 85% of all customers report satisfaction with MFIS.

2005

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Automation

% of management agents transmitting tenant data using the MFIS industry interface process

70%

80%

15,167 of 16,920 projects transmitting electronically in September 2005. This is a 90% rate.

2005

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Service Efficiency

% of delinquencies in MFH loan program

2%

Below 2%

As of September 30, the MFH delinquency rate was 1.2%.

2005

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Service Efficiency

% of field office staff's time required to process monthly MFH payments

30%

20%

With the implementation of phase 4, processing time has been reduced to 20%.

2005

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of new and rehabilitated units provided

5800

Maintain 100% of Baseline

As of September 30, 2005, 5,950 new and rehabilitated units were provided.

2005

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of households not displaced by loss of rental assistance (number of renewals of rental assistance contracts)

42330

Maintain 100% of Baseline

As of September 30, 2005, over 44,000 households were receiving Rental Assistance.

2005

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of Active Rental Assistance Agreements

18500

18750

As of September 30, 2005, there were 19000 active Rental Assistance Agreements

2005

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of Active Projects Providing Assistance in the Multi Housing Program

16800

Maintain 100% of Baseline

As of September 30, 2005, there were 16888 active projects providing housing assistance in the MFH program

2005

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of MFH Projects Receiving Rental Assistance

13000

Maintain 100% of Baseline

As of September 30, 2005, 13,203 MFH Projects Were Receiving Rental Assistance

2005

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Security

# of potential security risks identified and mitigated

10

Mitigate 90%

Identified and Mitigated 10 Risks

2005

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Mission and Business Results

Capital Planning

Approval of the OMB300 Budget Submission

Annually

Maintain at baseline

Approved December 2005

2006

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Load levels

# of supervisory activities performed annually

180,000 Activities Annually

Increase to 185,000 activities annually

As of September, 30, over 184,000 activities were performed.

2006

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Internal Data Sharing

# of reports available through MFIS

35

Increase to 38 with phase 5 implementation

As of September 30, there are 39 reports available in MFIS.

2006

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Availability

% of time MFIS is available to end-users

99%

99% availability

As of September 30, the system has been available over 99% of the time.

2006

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Internal Data Sharing

% of MFIS data available in the MFH data warehouse

95%

100% after phase 5 implementation

As of September 30, 100% of MFIS data is now available in the Tabular data warehouse.

2006

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Load levels

# of simultaneous end-users that can be supported by MFIS

1,500

2,000

As of September 30, over 2000 concurrent users are being supported by MFIS.

2006

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Cycle Time

Average lag time for AMAS data changes to reach MFIS.

Daily

Maintain at Daily

As of September 30, all emergency modifications can be implemented daily.

2006

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Productivity

% of RD servicing specialists reporting time savings compiling and processing data for monthly payments

100%

To maintain 100% each year.

As of September 30, 100% of all RD servicing specialists to realize time savings when processing monthly payments.

2006

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Complaints

# of customer complaints received at the Centralized Help Desk each month related to MFIS

90

Maintain at 90 or less

As of September 30, an average of 76 calls were received via CHD.

2006

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Security

# of potential security weaknesses identified on the FISMA Assessment

10

7

As of September 30, 2 weaknesses were identified in the FISMA self assessment tool.

2006

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Productivity

% of properties having had Annual Physical Inspections (Walkabouts) performed

90%

Maintain at 90%

As of September 30, physical inspections had been performed on 90% of the total MFH projects.

2006

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Customer Satisfaction

% of customers indicating overall satisfaction with MFIS

80%

85%

As of September 30, CHD reports that 85% of all customers report satisfaction with MFIS.

2006

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Automation

% of management agents transmitting tenant data using the MFIS industry interface process

80%

85%

As of September 30, 95% of all tenant data was submitted electronically.

2006

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Service Efficiency

% of delinquencies in MFH loan program

2%

Below 2%

As of September 30, the MFH delinquency rate is 2.0%.

2006

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Service Efficiency

% of field office staff's time required to process monthly MFH payments

20%

15%

With phase 5 and the CSC payment processing project completed, processing time has been reduced to less than 15%.

2006

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of new and rehabilitated units provided

5800

Maintain 100% of Baseline

As of September 30, 6,215 new and rehabilitated units were provided.

2006

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of households not displaced by loss of rental assistance (number of renewals of rental assistance contracts)

42330

Maintain 100% of Baseline

As of September 30, over 42,500 households were receiving Rental Assistance.

2006

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of Active Rental Assistance Agreements

18750

18900

As of September 30, there were 20,990 active Rental Assistance Agreements in the MFH program.

2006

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of Active Projects Providing Assistance in the Multi Housing Program

16000

Maintain 100% of Baseline

As of September 30, there were 16,425 active projects providing housing assistance in the MFH program.

2006

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of MFH Projects Receiving Rental Assistance

13000

Maintain 100% of Baseline

As of September 30, 13,100 MFH projects were receiving Rental Assistance.

2006

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Security

Review of the MFIS FISMA Risk Assessment Report for Improvements

Review and Update Report Every Six Months

Perform Review and Update Monthly

As of September 30, the FISMA assessment report is being reviewed monthly.

2006

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Mission and Business Results

Capital Planning

Approval of the OMB300 Budget Submission

Annually

Maintain at baseline

Approved December 2006

2007

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Load levels

# of supervisory activities performed annually

185,000 Activities Annually

Increase to 190,000 activities annually

As of May 31, 2007, over 130,000 activities were performed.

2007

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Internal Data Sharing

# of reports available through MFIS

38

Increase to 40

As of May31, 2007, there are 40 reports available in MFIS.

2007

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Availability

% of time MFIS is available to end-users

99%

99%

As of May 31, 2007, the system has been available over 99% of the time.

2007

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Internal Data Sharing

% of MFIS data available in the MFH data warehouse

100%

Maintain at 100%

As of May 31, 2007, 100% of MFIS data is available in the tabular data warehouse.

2007

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Load levels

# of simultaneous end-users that can be supported by MFIS

2,000

Maintain 2000

As of May 31, 2007, over 2000 concurrent users are being supported by MFIS.

2007

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Complaints

# of customer complaints received at the Centralized Help Desk each month related to MFIS

90

Maintain at 90 or less

As of May 31, 2007 an average of 72 calls were received via CHD.

2007

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Security

# of potential security risks identified and mitigated

10

Maintain at 10

As of May 31, 2007, 2 weaknesses were identified in the FISMA self assessment tool.

2007

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Productivity

% of properties having had Annual Physical Inspections (Walkabouts) performed

90%

Maintain 90%

As of May 31, 2007, physical inspections have been performed on 76% of the total MFH projects.

2007

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Customer Satisfaction

% of customers indicating overall satisfaction with MFIS

85%

90%

As of May 31, 2007, CHD reports that 91% of all customers report satisfaction with MFIS.

2007

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Automation

% of management agents transmitting tenant data using the MFIS industry interface process

85%

90%

As of May 31, 2007, 95% of all tenant data is is submitted electronically.

2007

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Service Efficiency

% of delinquencies in MFH loan program

2%

Remain Below 2%

As of May 31, 2007, the MFH delinquency rate is 1.9%.

2007

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Service Efficiency

% of field office staff's time required to process monthly MFH payments

15%

Maintain at 15% or less

As of May 31, 2007 processing time has been reduced to less than 15%.

2007

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of new and rehabilitated units provided

5800

Maintain 100% of Baseline

As of May 31, 2007, 5,300 new and rehabilitated units were provided.

2007

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of households not displaced by loss of rental assistance (number of renewals of rental assistance contracts)

42330

Maintain 100% of Baseline

As of May 31, 2007, over 43,000 household were receiving Rental Assistance.

2007

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of Active Rental Assistance Agreements

18900

Maintain 100% of Baseline

As of May 31, 2007, there 19,100 active Rental Assistance Agreements in the MFH program.

2007

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of Active Projects Providing Assistance in the Multi Housing Program

16400

Maintain 100% of Baseline

As of May 31, 2007, there were 16,425 active projects providing housing assistance in the MFH program.

2007

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of MFH Projects Receiving Rental Assistance

13000

Maintain 100% of Baseline

As of May 31, 2007, 13,150 MFH projects were receiving Rental Assistance.

2007

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Security

Review of the MFIS FISMA Risk Assessment Report for Improvements

Review and Update Report Every Six Months

Perform Review and Update Monthly

As of May 31, 2007, the FISMA assessment report is being reviewed monthly.

2007

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Mission and Business Results

Capital Planning

Approval of the OMB300 Budget Submission

Annually

Maintain at baseline

Awaiting approval as of July 2007

2007

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Mission and Business Results

Continuity Of Operations

Perform disaster recovery exercise

Annually

Maintain at baseline

Completed on June 15, 2007

2008

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Load levels

# of supervisory activities performed annually

190,000 Activities Annually in FY08

Maintain 100% of Baseline

Not applicable until FY08.

2008

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Internal Data Sharing

# of reports available through MFIS

40

Maintain 100% of Baseline

Not applicable until 2008

2008

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Availability

% of time MFIS is available to end-users

99%

Maintain at 99%

Not applicable until 2008

2008

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Internal Data Sharing

% of MFIS data available in the MFH data warehouse

100%

Maintain at 100%

Not applicable until 2008

2008

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Load levels

# of simultaneous end-users that can be supported by MFIS

2000

Maintain 2000

Not applicable until 2008

2008

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Complaints

# of customer complaints received at the Centralized Help Desk each month related to MFIS

90

Maintain at 90 or less

Not applicable until 2008

2008

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Security

#of potential security risks identified are mitigated

10

Maintain at 10

Not applicable until 2008

2008

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Productivity

% of properties having had Annual Physical Inspections (Walkabouts) performed

90%

Maintain at 90%

Not applicable until 2008

2008

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Customer Satisfaction

% of customers indicating overall satisfaction with MFIS

90%

Maintain at 90%

Not applicable until 2008

2008

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Automation

% of management agents transmitting tenant data using the MFIS industry interface process

90%

Maintain at 90%

Not applicable until 2008

2008

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Service Efficiency

% of delinquencies in MFH loan program

2%

Remain below 2%

Not applicable until 2008

2008

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Service Efficiency

% of field office staff's time required to process monthly MFH payments

15%

Maintain at 15% or less

Not applicable until 2008

2008

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of new and rehabilitated units provided

5800

Maintain at 100% of baseline

Not applicable until 2008

2008

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of households not displaced by loss of rental assistance (number of renewals of rental assistance contracts)

42330

Maintain at 100% of baseline

Not applicable until 2008

2008

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of Active Rental Assistance Agreements

18900

Maintain at 100% of baseline

Not applicable until 2008

2008

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of Active Projects Providing Assistance in the Multi Housing Program

16000

Maintain at 100% of baseline

Not applicable until 2008

2008

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of MFH Projects Receiving Rental Assistance

13000

Maintain at 100% of baseline

Not applicable until 2008

2008

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Security

Review of the MFIS FISMA Risk Assessment Report for Improvements

Review and Update Report Every Six Months

Perform Review and Update Monthly

Not applicable until 2008

2008

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Mission and Business Results

Capital Planning

Approval of the OMB300 Budget Submission

Annually

Maintain at baseline

Not Applicable Until 2008

2008

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Mission and Business Results

Continuity Of Operations

Perform disaster recovery exercise

Annually

Maintain at baseline

Not Applicable Until 2008

2009

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Load levels

# of Supervisory Activities Performed Annually

190,000 Activites Annually in FY09

Maintain 100% of Baseline

Not Applicable Until 2009

2009

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Internal Data Sharing

# of reports available through MFIS

40

Maintain 100% of Baseline

Not Applicable Until 2009

2009

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Availability

% of time MFIS is avaiable to end-users

99%

Maintain at 99%

Not Applicable Until 2009

2009

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Internal Data Sharing

% of MFIS data available in the MFH data warehouse

100%

Maintain at 100%

Not applicable until 2009

2009

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Load levels

Number of simultaneous end-users that can be supported by MFIS

2000

Maintain 2000

Not applicable until 2009

2009

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Complaints

# of customer complaints received at the Centralized Help Desk each month related to MFIS

90

Maintain at 90 or Less

Not applicable until 2009

2009

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Security

# of potential security risks identified are mitigated

10

Maintain at 10

Not applicable until 2009

2009

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Productivity

% of properties having had annual Physical Inspections (Walkabouts) performed

90%

Maintain at 90%

Not applicable until 2009

2009

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Customer Satisfaction

% of customers indicatin overall satisfaction with MFIS

90%

Maintain 90%

Not applicable until 2009

2009

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Automation

% of management agents transmitting tenant data using the MFIS Industry Interface process

90%

Maintain at 90%

Not applicable until 2009

2009

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Service Efficiency

% of delinquencies in the MFH program

2%

Remain at or below 2%

Not applicable until 2009

2009

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Service Efficiency

% of field office staff's time required to process monthly MFH payments

15%

Maintain at 15% or less

Not applicable until 2009

2009

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of new and rehabilitated units provided

5800

Maintain at 100% of baseline

Not applicable until 2009

2009

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of households not displaced by loss of rental assistance (number of renewals of rental assistance contracts)

42330

Maintain at 100% of baseline

Not applicable until 2009

2009

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of active Rental Assistance Agreements

18900

Maintain at 100% of baseline

Not applicable until 2009

2009

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of active projects providing assistance in the Multi Housing program

16000

Maintain 100% of baseline

Not applicable until 2009

2009

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of MFH projects receiving Rental Assistance

13000

Maintain at 100% of baseline

Not applicable until 2009

2009

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Security

Review of the MFIS FISMA Risk Assessment Report for Improvements

Review and Update Report Every Month

Maintain at Baseline

Not applicable until 2009

2009

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Mission and Business Results

Capital Planning

Approval of the OMB300 Budget Submission

Annually

Maintain at baseline

Not Applicable Until 2009

2009

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Mission and Business Results

Continuity Of Operations

Perform disaster recovery exercise

Annually

Maintain at baseline

Not Applicable Until 2009

2010

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Load levels

# of Supervisory Activities Performed Annually

190,000 Activites Annually in FY10

Maintain 100% of Baseline

Not Applicable Until 2010

2010

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Internal Data Sharing

# of reports available through MFIS

40

Maintain 100% of Baseline

Not Applicable Until 2010

2010

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Availability

% of time MFIS is avaiable to end-users

99%

Maintain at 99%

Not Applicable Until 2010

2010

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Internal Data Sharing

% of MFIS data available in the MFH data warehouse

100%

Maintain at 100%

Not applicable until 2010

2010

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Load levels

Number of simultaneous end-users that can be supported by MFIS

2000

Maintain 2000

Not applicable until 2010

2010

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Complaints

# of customer complaints received at the Centralized Help Desk each month related to MFIS

90

Maintain at 90 or Less

Not applicable until 2010

2010

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Security

# of potential security risks identified are mitigated

10

Maintain at 10

Not applicable until 2010

2010

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Productivity

% of properties having had annual Physical Inspections (Walkabouts) performed

90%

Maintain at 90%

Not applicable until 2010

2010

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Customer Satisfaction

% of customers indicatin overall satisfaction with MFIS

90%

Maintain 90%

Not applicable until 2010

2010

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Automation

% of management agents transmitting tenant data using the MFIS Industry Interface process

90%

Maintain at 90%

Not applicable until 2010

2010

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Service Efficiency

% of delinquencies in the MFH program

2%

Remain at or below 2%

Not applicable until 2010

2010

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Service Efficiency

% of field office staff's time required to process monthly MFH payments

15%

Maintain at 15% or less

Not applicable until 2010

2010

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of new and rehabilitated units provided

5800

Maintain at 100% of baseline

Not applicable until 2010

2010

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of households not displaced by loss of rental assistance (number of renewals of rental assistance contracts)

42330

Maintain at 100% of baseline

Not applicable until 2010

2010

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of active Rental Assistance Agreements

18900

Maintain at 100% of baseline

Not applicable until 2010

2010

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of active projects providing assistance in the Multi Housing program

16000

Maintain 100% of baseline

Not applicable until 2010

2010

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of MFH projects receiving Rental Assistance

13000

Maintain at 100% of baseline

Not applicable until 2010

2010

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Security

Review of the MFIS FISMA Risk Assessment Report for Improvements

Review and Update Report Every Month

Maintain at Baseline

Not applicable until 2010

2010

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Mission and Business Results

Capital Planning

Approval of the OMB300 Budget Submission

Annually

Maintain at baseline

Not Applicable Until 2010

2010

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Mission and Business Results

Continuity Of Operations

Perform disaster recovery exercise

Annually

Maintain at baseline

Not Applicable Until 2010

2011

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Load levels

# of Supervisory Activities Performed Annually

190,000 Activities Annually in FY11

Maintain 100% of Baseline

Not Applicable Until 2011

2011

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Internal Data Sharing

# of Reports available through MFIS

40

Maintain 100% of Baseline

Not Applicable Until 2011

2011

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Availability

% of time MFIS is available to end-users

99%

Maintain at 99%

Not Applicable Until 2011

2011

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Internal Data Sharing

% of MFIS data available inthe MFH data warehouse

100%

Maintain at 100%

Not Applicable Until 2011

2011

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Technology

Load levels

Number of simultaneous end-users that can be supported by MFIS

2000

Maintain at 2000

Not Applicable Until 2011

2011

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Complaints

# of customer complaints received by the Centralized Help Desk each month related to MFIS

90

Maintain at 90 or less

Not Applicable Until 2011

2011

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Security

# of potential security risks identified that are mitigated

10

Maintain at 10

Not Applicable Until 2011

2011

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Productivity

% of properties having had annual Physical Inspections (Walkabouts) performed

90%

Maintain at 90%

Not Applicable Until 2011

2011

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Customer Satisfaction

% of customers indicating overall satisfaction with MFIS

90%

Maintain at 90%

Not Applicable Until 2011

2011

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Automation

% of management agents transmitting tenant data using the MFIS Industry Interface process

90%

Maintain at 90%

Not Applicable Until 2011

2011

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Service Efficiency

% of delinquencies in the MFH program

2%

Maintain at 2% or below

Not Applicable Until 2011

2011

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Customer Results

Service Efficiency

% of field office staff's time required to process monthly MFH payments

15%

Maintain at 15% or less

Not Applicable Until 2011

2011

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of new and rehabilitated units provided

5800

Maintain at 100% of baseline

Not Applicable Until 2011

2011

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of households not displaced by loss of rental assistance (number of renewals of rental assistance agreements)

42330

Maintain at 100% of baseline

Not Applicable Until 2011

2011

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of active Rental Assistance Agreements

18900

Maintain at 100% of baseline

Not Applicable Until 2011

2011

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of active projects providing assistance in the Multi Housing program

16000

Maintain at 100% of baseline

Not Applicable Until 2011

2011

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Participation

Number of MFH projects receiving rental assistance

13000

Maintain at 100% of baseline

Not Applicable Until 2011

2011

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Processes and Activities

Security

Review of the MFM FISMA Risk Assessment Report for Improvements

Review and Update Report Every Month

Maintain at baseline

Not Applicable Until 2011

2011

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Mission and Business Results

Capital Planning

Approval of the OMB300 Budget Submission

Annually

Maintain at baseline

Not Applicable Until 2011

2011

Goal 3: Support Increased Economic Opportunities and Improved Quality of Life in Rural America

Mission and Business Results

Continuity Of Operations

Perform disaster recovery exercise

Annually

Maintain at baseline

Not Applicable Until 2011

 

 

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?   

 

 

 

no

 

 

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)

 

 

 

 

 

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

 

(long text - 2500 characters)

 

 

There is no transition activity underway at this time.

 

 

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)

Process Automation Services

MFIS captures all business transactions for monitoring and tracking purposes of MFH projects.

Tracking and Workflow

Process Tracking

 

005-55-01-01-01-1010-00

No Reuse

0

Business Management Services

MFIS manages and enforces business rules as established by the subject matter experts for MFH.

Management of Processes

Business Rule Management

 

005-55-01-01-01-1010-00

No Reuse

0

Business Management Services

MFIS is specifically designed for managing and tracking the RD MFH project portfolio.

Investment Management

Portfolio Management

 

005-55-01-01-01-1010-00

No Reuse

0

Business Management Services

MFIS is specifically designed for measuring the effectiveness of the organization's financial assets.

Investment Management

Performance Management

 

005-55-01-01-01-1010-00

No Reuse

0

Digital Asset Services

MFIS allows for the acceptance, review and approval of project budgets (RD Form 1944-7).

Document Management

Document Review and Approval

 

005-55-01-01-01-1010-00

No Reuse

0

Digital Asset Services

MFIS allows for the online review of project tenant certifications.

Knowledge Management

Information Retrieval

 

005-55-01-01-01-1010-00

No Reuse

0

Business Analytical Services

MFIS has over 35 canned reports.

Reporting

Standardized / Canned

 

005-55-01-01-01-1010-00

No Reuse

0

Digital Asset Services

MFIS allows for the review and acceptance by both Rural Development and Management Agent representatives of project tenant certification data.

Knowledge Management

Information Sharing

 

005-55-01-01-01-1010-00

No Reuse

0

Digital Asset Services

MFIS allows for the collection of different types of tenant and project data simultaneously.

Knowledge Management

Categorization

 

005-55-01-01-01-1010-00

No Reuse

0

Digital Asset Services

MFIS allows for the collection of project tenant data in a standardized manner.

Knowledge Management

Knowledge Capture

 

005-55-01-01-01-1010-00

No Reuse

0

Digital Asset Services

MFIS allows for the transfer of all project tenant data to the management agent for analysis and processing.

Knowledge Management

Knowledge Distribution and Delivery

 

005-55-01-01-01-1010-00

No Reuse

0

Business Analytical Services

MFIS uses historical tracking data to predict when project budgets are due.

Analysis and Statistics

Portfolio Management

 

005-55-01-01-01-1010-00

No Reuse

0

Business Analytical Services

MFIS uses data to analyze project budgets for regulation compliance.

Analysis and Statistics

Mathematical

 

005-55-01-01-01-1010-00

No Reuse

0

Business Analytical Services

Property Eligibility Calculator provides maps using Mapquest style functionality.

Visualization

Mapping / Geospatial / Elevation / GPS

 

005-55-01-01-01-1010-00

No Reuse

0

Business Analytical Services

MFIS has a decision engine for analyzing project budgets.

Business Intelligence

Decision Support and Planning

 

005-55-01-01-01-1010-00

No Reuse

0

Business Analytical Services

MFIS currently allows ad hoc reporting through the Brio Reporting tool.

Reporting

Ad Hoc

 

005-55-01-01-01-1010-00

No Reuse

0

Back Office Services

MFIS interfaces with AMAS, the Data Warehouse and a Preauthorized Debit System (PAD).

Data Management

Data Exchange

 

005-55-01-01-01-1010-00

No Reuse

0

Back Office Services

When MFIS interfaces with the Data Warehouse there is an extraction procedure.

Data Management

Extraction and Transformation

 

005-55-01-01-01-1010-00

No Reuse

0

Back Office Services

Some MFIS Tenant Certifications and Project budgets are received electronically from management agents in an X12 format. These files must be loaded into the MFIS database.

Data Management

Loading and Archiving

 

005-55-01-01-01-1010-00

No Reuse

0

Back Office Services

MFIS captures all business transactions against the projects for monitoring and tracking purposes of loan collection.

Financial Management

Debt Collection

 

005-55-01-01-01-1010-00

No Reuse

0

Back Office Services

MFIS tracks all activities allowing for the management of the property or asset.

Asset / Materials Management

Property / Asset Management

 

005-55-01-01-01-1010-00

No Reuse

0

Back Office Services

MFIS was originally developed using a Graphical User Interface but was quickly diverted to the web. MFIS also integrates with the legacy AMAS for the payment support and PAD for payment collections.

Development and Integration

Legacy Integration

 

005-55-01-01-01-1010-00

No Reuse

0

Back Office Services

MFIS integrates data from the USDAMINC system, which is where management agents submit their tenant certifications.

Development and Integration

Data Integration

 

005-55-01-01-01-1010-00

No Reuse

0

Support Services

The external MFIS website, USDAMINC, maintains security information about users and validates them upon entry.

Security Management

Identification and Authentication

 

005-55-01-01-01-1010-00

No Reuse

0

Support Services

Both the MFIS internal and external websites reside within the St. Louis web farm, which perform intrusion detection.

Security Management

Intrusion Detection

 

005-55-01-01-01-1010-00

No Reuse

0

Support Services

MFIS supports the design and generation of electronic or physical forms for use within the business cycle.

Forms Management

Forms Creation

 

005-55-01-01-01-1010-00

No Reuse

0

Support Services

The external MFIS website, USDAMINC, maintains security information about users.

Security Management

Access Control

 

005-55-01-01-01-1010-00

No Reuse

0

Support Services

Both the MFIS internal and external websites support the granting of abilities to users or groups of users for their respective application.

Security Management

Access Control

 

005-55-01-01-01-1010-00

No Reuse

0

Support Services

MFIS integrates data from the USDAMINC system, which is where management agents submit their tenant certifications. MFIS also integrates data from AMAS and PAD.

Communication

Computer / Telephony Integration

 

005-55-01-01-01-1010-00

No Reuse

0

Support Services

MFIS supports the scheduling of project tasks and their management.

Collaboration

Task Management

 

005-55-01-01-01-1010-00

No Reuse

0

Support Services

Numerous MFIS components support retrieval of records that satisfy specific query selection criteria.

Search

Query

 

005-55-01-01-01-1010-00

No Reuse

0

Back Office Services

When MFIS interfaces with PAD, there is an extraction procedure.

Data Management

Data Exchange

 

005-55-01-01-01-1010-00

No Reuse

0

eAuthentication

Agency's reusable component for authentication (eAuthentication)

Security Management

Identification and Authentication

Identification and Authentication

005-03-02-01-01-8003-00

Internal

2

Customer Services

Online Help for MFIS and USDAMINC

Customer Initiated Assistance

Online Help

 

005-55-01-01-01-1010-00

No Reuse

0

Support Services

Data is encrypted when being sent to and received from the external MFIS website, USDAMINC.

Security Management

Cryptography

 

005-55-01-01-01-1010-00

No Reuse

0

 

 

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)

Legacy Integration

Service Access and Delivery

Access Channels

Web Browser

Internet Explorer

Legacy Integration

Service Access and Delivery

Access Channels

Web Browser

Netscape Communicator

Email

Service Access and Delivery

Access Channels

Collaboration / Communications

Electronic Mail (E-mail)

Legacy Integration

Service Access and Delivery

Access Channels

Other Electronic Channels

Web Service

Standardized / Canned

Service Access and Delivery

Service Requirements

Legislative / Compliance

Section 508

Access Control

Service Access and Delivery

Service Requirements

Legislative / Compliance

Security

Access Control

Service Access and Delivery

Service Requirements

Hosting

Internal (within Agency)

Access Control

Service Access and Delivery

Service Transport

Supporting Network Services

Domain Name System (DNS)

Data Exchange

Service Access and Delivery

Service Transport

Service Transport

Transport Control Protocol (TCP)

Data Exchange

Service Access and Delivery

Service Transport

Service Transport

Internet Protocol (IP)

Data Exchange

Service Access and Delivery

Service Transport

Service Transport

Hyper Text Transfer Protocol (HTTP)

Cryptography

Service Access and Delivery

Service Transport

Service Transport

Hyper Text Transfer Protocol Secure (HTTPS)

Cryptography

Service Access and Delivery

Service Transport

Service Transport

File Transfer Protocol (FTP)

Legacy Integration

Service Platform and Infrastructure

Support Platforms

Platform Independent

Java 2 Platform Enterprise Edition (J2EE)

Data Integration

Service Platform and Infrastructure

Database / Storage

Database

Oracle

Data Exchange

Service Platform and Infrastructure

Database / Storage

Storage

Storage Area Network (SAN)

Network Management

Service Platform and Infrastructure

Delivery Servers

Web Servers

Internet Information Server (IIS)

Network Management

Service Platform and Infrastructure

Delivery Servers

Web Servers

Apache

Network Management

Service Platform and Infrastructure

Hardware / Infrastructure

Servers / Computers

Enterprise Server

Legacy Integration

Service Platform and Infrastructure

Hardware / Infrastructure

Servers / Computers

Mainframe

Legacy Integration

Service Platform and Infrastructure

Hardware / Infrastructure

Embedded Technology Devices

Hard Disk Drive

Legacy Integration

Service Platform and Infrastructure

Hardware / Infrastructure

Embedded Technology Devices

Microprocessor

Data Exchange

Service Platform and Infrastructure

Hardware / Infrastructure

Embedded Technology Devices

Redundant Array of Independent Disks (RAID)

Information Sharing

Service Platform and Infrastructure

Hardware / Infrastructure

Peripherals

Printer

Network Management

Service Platform and Infrastructure

Hardware / Infrastructure

Network Devices / Standards

Hub

Network Management

Service Platform and Infrastructure

Hardware / Infrastructure

Network Devices / Standards

Switch

Network Management

Service Platform and Infrastructure

Hardware / Infrastructure

Network Devices / Standards

Router

Network Management

Service Platform and Infrastructure

Hardware / Infrastructure

Network Devices / Standards

Gateway

Legacy Integration

Service Platform and Infrastructure

Hardware / Infrastructure

Network Devices / Standards

T1/T3

Legacy Integration

Service Platform and Infrastructure

Hardware / Infrastructure

Network Devices / Standards

Firewall

Legacy Integration

Service Platform and Infrastructure

Software Engineering

Integrated Development Environment

Visual Studio

Business Rule Management

Service Platform and Infrastructure

Software Engineering

Software Configuration Management

Version Management

Business Rule Management

Service Platform and Infrastructure

Software Engineering

Software Configuration Management

Change Management

Business Rule Management

Service Platform and Infrastructure

Software Engineering

Test Management

Functional Testing

Access Control

Service Platform and Infrastructure

Software Engineering

Test Management

Security and Access Control Testing

Access Control

Service Platform and Infrastructure

Software Engineering

Test Management

Configuration Testing

Access Control

Service Platform and Infrastructure

Software Engineering

Test Management

Installation Testing

Business Rule Management

Service Platform and Infrastructure

Software Engineering

Modeling

Case Tool Management

Cryptography

Component Framework

Security

Certificates / Digital Signatures

Digital Certificate Authentication

Access Control

Component Framework

Security

Certificates / Digital Signatures

Secure Sockets Layer (SSL)

Access Control

Component Framework

Security

Supporting Security Services

Secure Shell (SSH)

Data Exchange

Component Framework

Data Interchange

Data Exchange

Electronic Business using XML (ebXML)

Legacy Integration

Component Framework

Presentation / Interface

Static Display

Hyper Text Markup Language (HTML)

Legacy Integration

Component Framework

Presentation / Interface

Dynamic Server-Side Display

Java Server Pages (JSP)

Legacy Integration

Component Framework

Presentation / Interface

Dynamic Server-Side Display

Active Server Pages (ASP)

Legacy Integration

Component Framework

Presentation / Interface

Content Rendering

Cascading Style Sheets (CSS)

Legacy Integration

Component Framework

Business Logic

Platform Independent

JavaScript

Legacy Integration

Component Framework

Business Logic

Platform Independent

Java Servlet (JSR 53)

Access Control

Component Framework

Data Management

Database Connectivity

Java Database Connectivity (JDBC)

Access Control

Component Framework

Data Management

Database Connectivity

Open Database Connectivity (ODBC)

Access Control

Component Framework

Data Management

Database Connectivity

DB2 Connector

Extraction and Transformation

Service Interface and Integration

Integration

Middleware

Database Access (PL/SQL)

Data Exchange

Service Interface and Integration

Interoperability

Data Format / Classification

eXtensible Markup Language (XML)

Data Exchange

Service Interface and Integration

Interface

Service Description / Interface

Application Program Interface (API) / Protocol

Legacy Integration

Component Framework

Business Logic

Platform Dependent

VB Script for Platform Dependent Business Logic

Legacy Integration

Component Framework

Business Logic

Platform Independent

C, C , for Platform Independent Business Logic

Legacy Integration

Component Framework

Business Logic

Platform Independent

Linux for Platform Independent Business Logic

Knowledge Distribution and Delivery

Component Framework

Data Interchange

Data Exchange

Simple Object Access Protocol (SOAP)

Legacy Integration

Component Framework

Data Management

Database Connectivity

Active Data Objects (ADO)

Computer / Telephony Integration

Service Access and Delivery

Access Channels

Collaboration / Communications

Facsimile (Fax)

Process Tracking

Service Access and Delivery

Access Channels

Other Electronic Channels

Uniform Resource Locator (URL)

Information Retrieval

Service Access and Delivery

Delivery Channels

Extranet

Extranet

Information Retrieval

Service Access and Delivery

Delivery Channels

Intranet

Intranet

Access Control

Service Access and Delivery

Delivery Channels

Virtual Private Network (VPN)

Virtual Private Network (VPN)

Information Retrieval

Service Access and Delivery

Delivery Channels

Supporting Network Services

Internet Access Message Protocol/Post Office Protocol (IMAP/POP3)

Business Rule Management

Service Interface and Integration

Integration

Middleware

Object Request Broker (ORB): Component Object Model (COM)

Data Exchange

Service Interface and Integration

Integration

Data Format / Classification

Electronic Data Interchange (EDI)

Data Integration

Service Platform and Infrastructure

Database / Storage

Database

Database 2 (DB2)

Loading and Archiving

Service Platform and Infrastructure

Delivery Servers

Application Servers

Application Servers

Legacy Integration

Service Platform and Infrastructure

Hardware / Infrastructure

Embedded Technology Devices

Random Access Memory (RAM)

Access Control

Service Platform and Infrastructure

Hardware / Infrastructure

Local Area Network (LAN)

Virtual LAN (VLAN)

Access Control

Service Platform and Infrastructure

Hardware / Infrastructure

Wide Area Network (WAN)

Asynchronous Transfer Mode (ATM)

Business Rule Management

Service Platform and Infrastructure

Software Engineering

Software Configuration Management

Deployment Management

Decision Support and Planning

Service Platform and Infrastructure

Software Engineering

Software Configuration Management

Issue Management

Legacy Integration

Service Platform and Infrastructure

Support Platforms

Platform Dependent

Windows 2000

Legacy Integration

Service Platform and Infrastructure

Support Platforms

Platform Independent

Linux

Standardized / Canned

Service Platform and Infrastructure

Software Engineering

Test Management

Usability Testing (Section 508)

Portfolio Management

Service Access and Delivery

Access Channels

Web Browser

Internet Explorer

Performance Management

Service Access and Delivery

Service Requirements

Legislative / Compliance

Security

Document Review and Approval

Component Framework

Presentation / Interface

Static Display

HTML

Categorization

Component Framework

Data Management

Reporting and Analysis

OLAP

Knowledge Capture

Service Interface and Integration

Interoperability

Data Types / Validation

Oracle

Mathematical

Service Platform and Infrastructure

Delivery Servers

Application Servers

Application Servers

Mapping / Geospatial / Elevation / GPS

Service Access and Delivery

Access Channels

Other Electronic Channels

Web Service

Ad Hoc

Service Access and Delivery

Access Channels

Other Electronic Channels

VPN

Debt Collection

Service Access and Delivery

Access Channels

Intranet

Rural Develoment Intranet

Property / Asset Management

Service Access and Delivery

Access Channels

Intranet

Rural Develoment Intranet

Identification and Authentication

Component Framework

Security

Supporting Security Services

Web Services Security (eAuth)

Intrusion Detection

Service Platform and Infrastructure

Hardware / Infrastructure

Servers / Computers

Firewall

Forms Creation

Service Access and Delivery

Delivery Channels

Intranet

Intranet

Task Management

Service Access and Delivery

Service Transport

Service Transport

Hyper Text Transfer Protocol Secure (HTTPS)

Query

Service Access and Delivery

Access Channels

Other Electronic Channels

VPN

Online Help

Service Access and Delivery

Access Channels

Intranet

Rural Development Intranet

 

 

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)

 

 

MFIS currently leverages USDA's eForms service for eligible Multi Housing forms and USDA's AG Learn for automated Security Awareness training. MFIS was brought under eAuthentication for use by both the external project Management Agents doing business with the Government and internal Government employees using MFIS on August 15, 2006.

 

 

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?   

 

 

 

 

 

 

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

 

 

 

 

 

 

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)

 

 

 

 

 

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

 

(long text - 2500 characters)

 

 

 

 

 

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

 

(long text - 2500 characters)

 

 

 

 

 

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

 

 

 

 

 

 

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?   

 

 

 

 

 

 

II. A. 5. 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.

 

 

 

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

 

 

 

 

 

 

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

 

 

 

 

 

 

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

 

 

 

 

 

 

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)

 

 

 

 

 

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?   

 

 

 

yes

 

 

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

 

 

 

2007-07-20

 

 

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

 

 

 

yes

 

 

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

 

(long text - 2500 characters)

 

 

Investment risks have been reassessed and risk cost factors have been updated with procedures for computing these risk factor costs. In light of recent security events, Privacy risks were also reassessed and new privacy related risk management strategies developed.

 

 

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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Patent Pending Application Numbers: 09/334,256;09/536,378;09/536,383;7,062,449;60/642,983;11/090,038
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