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:   

 

 

 

47

 

 

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

 

(short text - 250 characters)

 

 

RMA-01 Financial Management Systems

 

 

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

 

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

 

 

005-47-01-51-01-0001-00

 

 

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 Financial Management System (FMS), investment has been approved for the current fiscal year as a steady state investment. The USDA E-Board most recently approved this investment on August 29, 2007. RMA also received permission to replace the systems in this investment via the Emerging Information Technology Architecture (EITA) reengineering effort. RMA will seek further approval from the E-Board in FY 2009 to retire the investment in October 2010. Funding, performance, and the other features of the new EITA system that will replace FMS are reported separately under its own Exhibit 300. RMA is the operations arm of the Federal Crop Insurance Corporation (FCIC). Federal crop insurance is available to agricultural producers through private insurance companies that market and service policies. FCIC reinsures the policies and provides a subsidy for the administrative and operating expenses of delivering the insurance products and/or programs. FCIC also provides a subsidy for the producer's premium. The reinsured companies electronically transmit to the FCIC, at least monthly, all data required under the reinsurance agreement to receive their contracted reimbursements. Under a mutually beneficial financial agreement, RMA processes five cycles of reinsurance data at any given time. Each cycle is associated with the financial and processing constraints negotiated for the specific reinsurance year. The FMS investment is RMA's single integrated financial management system (as required by OMB Circular A-127). FMS is a set of financial systems used by RMA/FCIC to carry out financial management functions, manage financial operations of the agency and report on the agency's financial status to central agencies, Congress and the public. The FCIC maintains two separate funds, one for administrative and operating purposes (A&O fund), and one for the crop insurance program (Insurance Fund). FMS manages both funds. Until reengineering of key financial systems is complete, the FMS continues to be the financial system of record for the Agency and Corporation.

 

 

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)

 

 

Naomi Gumbs, PMP

 

 

Phone Number   

 

(short text - 250 characters)

 

 

202-690-1479

 

 

E-mail   

 

(short text - 250 characters)

 

 

naomi.gumbs@rma.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?   

 

 

 

yes

 

 

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

 

 

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)

 

 

The FMS Program is the central unifying system providing accountability & control over taxpayer's funds.It supports the initiative "Financial Performance" by routinely producing information that is timely,measurable & effective to immediate performance;useful to make more informed operational & financial decisions;reliable to ensure consistent,comparable trend analysis over time FMS approach are key components of the Presidents Financial Performance initiative(timeliness useful,reliability).

 

 

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)

 

 

Crop Insurance

 

 

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 3

 

 

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

 

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

 

 

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

 

 

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

 

 

 

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?   

 

 

 

yes

 

 

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

 

(short text - 250 characters)

 

 

All. This investment addresses compliance with 1) Federal Financial Management System Requirements, 2) Federal Accounting Standards and 3) compliance with the Standard General Ledger at the transaction level.

 

 

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

 

(medium text - 500 characters)

 

 

 

 

 

I. A. 19. b. If "yes," please identify the system name(s) and system acronym(s) as reported in the most recent financial systems inventory update required by Circular A-11 section 52   

 

(long text - 2500 characters)

 

 

Debt Management System (DMS); Escrow; Ineligible Tracking System (ITS); Plan of Operations (POO); Reconciliation System (RECON); Reinsurance Accounting System (RAS); Year End Accounting (YEA)

 

 

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?   

 

 

 

yes

 

 

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

 

 

I. A. 22. a. Name   

 

(short text - 250 characters)

 

 

Eric Baer

 

 

I. A. 22. b. Phone Number   

 

(short text - 250 characters)

 

 

816-823-1950

 

 

I. A. 22. c. Title   

 

(short text - 250 characters)

 

 

ISSPM

 

 

I. A. 22. d. E-mail   

 

(short text - 250 characters)

 

 

eric.baer@rma.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

0

0

0

 

 

 

 

 

Acquisition

5.196

0

0

0

 

 

 

 

 

Subtotal Planning & Acquisition

5.196

0

0

0

 

 

 

 

 

Operations & Maintenance

4.797

0.700

1.414

1.082

 

 

 

 

 

TOTAL

9.993

0.700

1.414

1.082

 

 

 

 

 

Government FTE Costs

7.630

0.200

0.500

0.500

 

 

 

 

 

Number of FTE represented by cost

90.1

2

5

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)

 

 

The Financial Management System (FMS), Investment 1, was approved by the USDA E-Board most recently for FY 2006 as a steady state investment. Due to the age of the system, competition for funding, and recommendations of the OCIO, this Investment will be retired at the end of FY 2010. The 5 Year IRM Plan identifies that Investment 13 will fully support the FMS systems beginning in FY 2011. It should be noted that RMA processes reinsurance years which run from July 1 through June 30 each year. Processing continues for a period of 5 years for any given reinsurance year, therefore, 2010 (which begins on July 1, 2009), is the last reinsurance year that this Investment will support. At the end of the 2010 FY all prior reinsurance years that were supported under this Investment will be moved to the new system developed under Investment 13. The FCIC maintains two separate funds, one for administrative and operating purposes (A&O fund), and one for the crop insurance program (Insurance Fund. The FMS supports the Insurance Fund. The reinsured companies electronically transmit to the FCIC at least monthly, all data required under the reinsurance agreement in order to receive their contractual reimbursements. The Deputy Administrator for Product Management (Product Analysis and Accounting Division - PAAD), assist in processing all insurance data, record detailed accounting and statistical data, prepare the required accounting, statistical and management reports for business from all sources and collect crop and accounting data needed for policy determinations, underwriting decisions and financial management. Funding for continued Steady State operations of FMS in FY 08 through FY 10 are reflected in the FMS budget. Beginning in FY 11, funding for FMS functions will be reflected in Investment 13.

 

 

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

2007

USDAGoal 2:Enhance Competitiveness & Sustainability of Rural &Farm Economies USDAObjective 2.3.1:Provide Risk Mngment&Financial Tools to Farmers& Ranchers 3.1Ensuring that customers&stakeholders have knowledge of &access to risk management tools?

Customer Results

Customer Services

Ensuring that customers & stakeholders have knowledge of & access to risk management tools & products

Providing insured Farmers and FCIC companiesaccess to approved and secure financial tools/products.

Open access to approved and secure financial tools/products for insured Farmers and FCIC companies

Actual results will be reported at the end of the FY for 2007

2007

USDA Goal 2 Enhance the Competitiveness and Sustainability of Rural and Farm Economies.

Mission and Business Results

Financial Management

1. Achieve an unqualified audit opinion on Financial Statements; 2. No material weaknesses; 3. No areas of non-conformance.

1. Received an unqualified audit opinion on the Financial Statements. 2. Received 2 material weaknesses. 3. Received 2 non conformances.

Unqualified audit opinion on the financial statements, no material weaknesses, and no non-conformances.

Results are pending for the 2007 year.

2007

USDAGoal 2:Enhance the Competitiveness and Sustainability of Rural and Farm Economies USDA Objective 2.3.1:Provide Risk Management &Financial Tools to Farmers and Ranchers1.1Increasing the availability and effectiveness of risk management solutions

Processes and Activities

Financial Management

Independent audit opinion;achieve an unqualified audit opinion

1. Received an unqualified audit opinion on the Financial Statements. 2. Received 2 material weaknesses. 3. Received 2 non conformances.

Unqualified audit opinion on the financial statements, no material weaknesses, and no non-conformances.

Actual results will be reported at the end of the FY for 2007

2007

USDAGoal 2:Enhance the Competitiveness and Sustainability of Rural and Farm Economies USDA Objective 2.3.1:Provide Risk Management &Financial Tools to Farmers and Ranchers1.1Increasing the availability and effectiveness of risk management solutions

Technology

System Maintenance

Maintaining and operating the Agency's financial systems.

Maintaining current systems while a new investment, eWA, is in place to transition all the financial systems under this investment.

Maintaining current systems while a new investment, eWA, is in place to transition all the financial systems under this investment.

Actual results will be reported at the end of the FY for 2007

2008

USDAGoal 2:Enhance Competitiveness & Sustainability of Rural &Farm Economies USDAObjective 2.3.1:Provide Risk Mngment&Financial Tools to Farmers& Ranchers 3.1Ensuring that customers&stakeholders have knowledge of &access to risk management tools?

Customer Results

Customer Services

Ensuring that customers & stakeholders have knowledge of & access to risk management tools & products

Providing insured Farmers and FCIC companiesaccess to approved and secure financial tools/products.

Open access to approved and secure financial tools/products for insured Farmers and FCIC companies

Actual results will be reported at the end of the FY for 2008

2008

USDA Goal 2 Enhance the Competitiveness and Sustainability of Rural and Farm Economies.

Mission and Business Results

Financial Management

1. Achieve an unqualified audit opinion on Financial Statements; 2. No material weakneses; 3. No areas of non-conformance.

1. Received an unqualified audit opinion on the Financial Statements. 2. Received 2 material weaknesses. 3. Received 2 non conformances.

Unqualified audit opinion on the financial statements, no material weaknesses, and no non-conformances.

Results are pending for the 2008 year.

2008

USDAGoal 2:Enhance the Competitiveness and Sustainability of Rural and Farm Economies USDA Objective 2.3.1:Provide Risk Management &Financial Tools to Farmers and Ranchers1.1Increasing the availability and effectiveness of risk management solutions

Processes and Activities

Financial Management

Independent audit opinion;achieve an unqualified audit opinion

1. Received an unqualified audit opinion on the Financial Statements. 2. Received 2 material weaknesses. 3. Received 2 non conformances.

Unqualified audit opinion on the financial statements, no material weaknesses, and no non-conformances.

Actual results will be reported at the end of the FY for 2008

2008

USDAGoal 2:Enhance the Competitiveness and Sustainability of Rural and Farm Economies USDA Objective 2.3.1:Provide Risk Management &Financial Tools to Farmers and Ranchers1.1Increasing the availability and effectiveness of risk management solutions

Technology

System Maintenance

Maintaining and operating the Agency's financial systems.

Maintaining current systems while a new investment, eWA, is in place to transition all the financial systems under this investment.

Maintaining current systems while a new investment, eWA, is in place to transition all the financial systems under this investment.

Actual results will be reported at the end of the FY for 2008

2009

USDAGoal 2:Enhance Competitiveness & Sustainability of Rural &Farm Economies USDAObjective 2.3.1:Provide Risk Mngment&Financial Tools to Farmers& Ranchers 3.1Ensuring that customers&stakeholders have knowledge of &access to risk management tools?

Customer Results

Customer Services

Ensuring that customers & stakeholders have knowledge of & access to risk management tools & products

Providing insured Farmers and FCIC companiesaccess to approved and secure financial tools/products.

Open access to approved and secure financial tools/products for insured Farmers and FCIC companies

Actual results will be reported at the end of the FY for 2009

2009

USDA Goal 2 Enhance the Competitiveness and Sustainability of Rural and Farm Economies.

Mission and Business Results

Financial Management

1. Achieve an unqualified audit opion on Financial Statements; 2. No material weaknesses.; 3. No areas of non-conformance.

1. Received an unqualified audit opinion on the Financial Statements. 2. Received 2 material weaknesses. 3. Received 2 non conformances.

Unqualified audit opinion on the financial statements, no material weaknesses, and no non-conformances.

Results are pending for the 2009 year.

2009

USDAGoal 2:Enhance the Competitiveness and Sustainability of Rural and Farm Economies USDA Objective 2.3.1:Provide Risk Management &Financial Tools to Farmers and Ranchers1.1Increasing the availability and effectiveness of risk management solutions

Processes and Activities

Financial Management

Independent audit opinion;achieve an unqualified audit opinion

1. Received an unqualified audit opinion on the Financial Statements. 2. Received 2 material weaknesses. 3. Received 2 non conformances.

Unqualified audit opinion on the financial statements, no material weaknesses, and no non-conformances.

Actual results will be reported at the end of the FY for 2009

2009

USDAGoal 2:Enhance the Competitiveness and Sustainability of Rural and Farm Economies USDA Objective 2.3.1:Provide Risk Management &Financial Tools to Farmers and Ranchers1.1Increasing the availability and effectiveness of risk management solutions

Technology

System Maintenance

Maintaining and operating the Agency's financial systems.

Maintaining current systems while a new investment, eWA, is in place to transition all the financial systems under this investment.

Maintaining current systems while a new investment, eWA, is in place to transition all the financial systems under this investment.

Actual results will be reported at the end of the FY for 2009

2010

USDAGoal 2:Enhance Competitiveness & Sustainability of Rural &Farm Economies USDAObjective 2.3.1:Provide Risk Mngment&Financial Tools to Farmers& Ranchers 3.1Ensuring that customers&stakeholders have knowledge of &access to risk management tools?

Customer Results

Customer Services

Ensuring that customers & stakeholders have knowledge of & access to risk management tools & products

Providing insured Farmers and FCIC companiesaccess to approved and secure financial tools/products.

Open access to approved and secure financial tools/products for insured Farmers and FCIC companies

Actual results will be reported at the end of the FY for 2010

2010

USDA Goal 2 Enhance the Competitiveness and Sustainability of Rural and Farm Economies.

Mission and Business Results

Financial Management

1.Achieve an unqualified audit opinion on financial statments 2. No material weaknesses 3. No nonconformances

1. Received an unqualified audit opinion on the Financial Statements. 2. Received 2 material weaknesses. 3. Received 2 non conformances.

Unqualified audit opinion on the financial statements, no material weaknesses, and no non-conformances.

Results are pending for the 2010 year.

2010

USDAGoal 2:Enhance the Competitiveness and Sustainability of Rural and Farm Economies USDA Objective 2.3.1:Provide Risk Management &Financial Tools to Farmers and Ranchers1.1Increasing the availability and effectiveness of risk management solutions

Processes and Activities

Financial Management

Independent audit opinion;achieve an unqualified audit opinion

1. Received an unqualified audit opinion on the Financial Statements. 2. Received 2 material weaknesses. 3. Received 2 non conformances.

Unqualified audit opinion on the financial statements, no material weaknesses, and no non-conformances.

Actual results will be reported at the end of the FY for 2010

2010

USDAGoal 2:Enhance the Competitiveness and Sustainability of Rural and Farm Economies USDA Objective 2.3.1:Provide Risk Management &Financial Tools to Farmers and Ranchers1.1Increasing the availability and effectiveness of risk management solutions

Technology

System Maintenance

Maintaining and operating the Agency's financial systems.

Maintaining current systems while a new investment, eWA, is in place to transition all the financial systems under this investment.

Maintaining current systems while a new investment, eWA, is in place to transition all the financial systems under this investment.

Actual results will be reported at the end of the FY for 2010

2009

USDAGoal 2:Enhance Competitiveness & Sustainability of Rural &Farm Economies USDAObjective 2.3.1:Provide Risk Mngment&Financial Tools to Farmers& Ranchers 3.1Ensuring that customers&stakeholders have knowledge of &access to risk management tools?

Customer Results

Customer Services

Ensuring that customers & stakeholders have knowledge of & access to risk management tools & products

Providing insured Farmers and FCIC companiesaccess to approved and secure financial tools/products.

Open access to approved and secure financial tools/products for insured Farmers and FCIC companies

Actual results will be reported at the end of the FY for 2009

2010

USDAGoal 2:Enhance the Competitiveness and Sustainability of Rural and Farm Economies USDA Objective 2.3.1:Provide Risk Management &Financial Tools to Farmers and Ranchers1.1Increasing the availability and effectiveness of risk management solutions

Processes and Activities

Financial Management

Independent audit opinion;achieve an unqualified audit opinion

1. Received an unqualified audit opinion on the Financial Statements. 2. Received 2 material weaknesses. 3. Received 2 non conformances.

Unqualified audit opinion on the financial statements, no material weaknesses, and no non-conformances.

Actual results will be reported at the end of the FY for 2010

2010

USDAGoal 2:Enhance the Competitiveness and Sustainability of Rural and Farm Economies USDA Objective 2.3.1:Provide Risk Management &Financial Tools to Farmers and Ranchers1.1Increasing the availability and effectiveness of risk management solutions

Technology

System Maintenance

Maintaining and operating the Agency's financial systems.

Maintaining current systems while a new investment, eWA, is in place to transition all the financial systems under this investment.

Maintaining current systems while a new investment, eWA, is in place to transition all the financial systems under this investment.

Actual results will be reported at the end of the FY for 2010

2010

USDAGoal 2:Enhance Competitiveness & Sustainability of Rural &Farm Economies USDAObjective 2.3.1:Provide Risk Mngment&Financial Tools to Farmers& Ranchers 3.1Ensuring that customers&stakeholders have knowledge of &access to risk management tools?

Customer Results

Customer Services

Ensuring that customers & stakeholders have knowledge of & access to risk management tools & products

Providing insured Farmers and FCIC companiesaccess to approved and secure financial tools/products.

Open access to approved and secure financial tools/products for insured Farmers and FCIC companies

Actual results will be reported at the end of the FY for 2010

 

 

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

Assure SRA compliance in gain/loss & finance programAssure SRA compliance in gain/loss & finance programAssure SRA compliance in gain/loss & finance program

Tracking and Workflow

Process Tracking

 

 

No Reuse

20

Back Office Services

Issue, store & manage payment to private industry partners

Financial Management

Payment / Settlement

 

 

No Reuse

35

Back Office Services

Manage debt accts. in compliance w/Treasury Offset Program. Assure timely, accurate finance statements, auditor reports & confirm

Financial Management

Debt Collection

 

 

No Reuse

35

Back Office Services

Assure finance viability: RMA industry partners sharing risk

Financial Management

Auditing

 

 

No Reuse

10

 

 

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)

Process Tracking

Service Platform and Infrastructure

Database / Storage

Database

Informix

Process Tracking

Service Platform and Infrastructure

Delivery Servers

Web Servers

Internet Information Server

Process Tracking

Service Platform and Infrastructure

Delivery Servers

Application Servers

Application Servers

Process Tracking

Service Platform and Infrastructure

Software Engineering

Integrated Development Environment

Macromedia Dreamweaver

Process Tracking

Service Platform and Infrastructure

Software Engineering

Integrated Development Environment

Visual Studio.Net

Process Tracking

Service Platform and Infrastructure

Delivery Servers

Database

Storage Area Network (SAN)

Process Tracking

Component Framework

Presentation / Interface

Static Display

Hyper Text Markup Language (HTML)

Process Tracking

Component Framework

Presentation / Interface

Dynamic Server-Side Display

Active Server Pages .Net (ASP.Net)

Process Tracking

Component Framework

Business Logic

Platform Dependent

Visual Studio.Net

Process Tracking

Component Framework

Business Logic

Platform Dependent

C-Sharp (C#)

Process Tracking

Component Framework

Business Logic

Platform Dependent

VB Script

Process Tracking

Component Framework

Business Logic

Platform Independent

C, C

Process Tracking

Component Framework

Business Logic

Platform Independent

JavaScript

Process Tracking

Component Framework

Data Management

Database Connectivity

Open Database Connectivity (ODBC)

Process Tracking

Component Framework

Presentation / Interface

Static Display

Service Platform and Infrastructure

Process Tracking

Service Platform and Infrastructure

Database / Storage

Storage

Storage Area Network (SAN)

Process Tracking

Service Platform and Infrastructure

Delivery Servers

Web Servers

Apache

Process Tracking

Service Platform and Infrastructure

Delivery Servers

Web Servers

Internet Information Server

Process Tracking

Component Framework

Presentation / Interface

Content Rendering

Dynamic HTML (DHTML)

Payment / Settlement

Component Framework

Business Logic

Platform Dependent

C-Sharp (C#)

Payment / Settlement

Component Framework

Business Logic

Platform Dependent

VB Script

Payment / Settlement

Component Framework

Business Logic

Platform Independent

C, C

Payment / Settlement

Component Framework

Business Logic

Platform Independent

JavaScrpt

Payment / Settlement

Component Framework

Data Management

Database Connectivity

Open Database Connectivity (ODBC)

Payment / Settlement

Component Framework

Presentation / Interface

Content Rendering

Dynamic HTML (DHTML)

Payment / Settlement

Component Framework

Presentation / Interface

Dynamic Server-Side Display

Active Server Pages (ASP)

Payment / Settlement

Component Framework

Presentation / Interface

Static Display

Hyper Text Markup Language (HTML)

Payment / Settlement

Component Framework

Presentation / Interface

Static Display

Service Platform and Infrastructure

Payment / Settlement

Service Platform and Infrastructure

Database / Storage

Database

Informix

Payment / Settlement

Service Platform and Infrastructure

Database / Storage

Storage

Storage Area Network (SAN)

Payment / Settlement

Service Platform and Infrastructure

Delivery Servers

Application Servers

Application Servers

Payment / Settlement

Service Platform and Infrastructure

Delivery Servers

Web Servers

Apache

Payment / Settlement

Service Platform and Infrastructure

Delivery Servers

Web Servers

Internet Information Server

Payment / Settlement

Service Platform and Infrastructure

Software Engineering

Integrated Development Environment

Visual Studio Net

Debt Collection

Component Framework

Business Logic

Platform Dependent

C-Sharp (C#)

Debt Collection

Component Framework

Business Logic

Platform Dependent

VB Script

Debt Collection

Component Framework

Business Logic

Platform Independent

C, C

Debt Collection

Component Framework

Business Logic

Platform Independent

JavaScript

Debt Collection

Component Framework

Data Management

Database Connectivity

Open Database Connectivity (ODBC)

Debt Collection

Component Framework

Presentation / Interface

Content Rendering

Dynamic HTML (DHTML)

Debt Collection

Component Framework

Presentation / Interface

Dynamic Server-Side Display

Active Server Pages (ASP)

Debt Collection

Component Framework

Presentation / Interface

Static Display

Hyper Text Markup Language (HTML)

Debt Collection

Component Framework

Presentation / Interface

Static Display

Service Platform and Infrastructure

Debt Collection

Service Platform and Infrastructure

Database / Storage

Database

Informix

Debt Collection

Service Platform and Infrastructure

Database / Storage

Storage

Storage Area Network (SAN)

Debt Collection

Service Platform and Infrastructure

Delivery Servers

Application Servers

Application Servers

Debt Collection

Service Platform and Infrastructure

Delivery Servers

Web Servers

Apache

Debt Collection

Service Platform and Infrastructure

Delivery Servers

Web Servers

Internet Information Server

Debt Collection

Service Platform and Infrastructure

Software Engineering

Integrated Development Environment

Visual Studio Net

Auditing

Component Framework

Business Logic

Platform Dependent

C-Sharp (C#)

Auditing

Component Framework

Business Logic

Platform Dependent

VB Script

Auditing

Component Framework

Business Logic

Platform Independent

C, C

Auditing

Component Framework

Business Logic

Platform Independent

JavaScript

Auditing

Component Framework

Data Management

Database Connectivity

Open Database Connectivity (ODBC)

Auditing

Component Framework

Presentation / Interface

Content Rendering

Dynamic HTML (DHTML)

Auditing

Component Framework

Presentation / Interface

Dynamic Server-Side Display

Active Server Pages (ASP)

Auditing

Component Framework

Presentation / Interface

Static Display

Hyper Text Markup Language (HTML)

Auditing

Component Framework

Presentation / Interface

Static Display

Service Platform and Infrastructure

Auditing

Service Platform and Infrastructure

Database / Storage

Database

Informix

Auditing

Service Platform and Infrastructure

Database / Storage

Storage

Storage Area Network (SAN)

Auditing

Service Platform and Infrastructure

Delivery Servers

Application Servers

Application Servers

Auditing

Service Platform and Infrastructure

Delivery Servers

Web Servers

Apache

Auditing

Service Platform and Infrastructure

Delivery Servers

Web Servers

Internet Information Server

Auditing

Service Platform and Infrastructure

Software Engineering

Integrated Development Environment

Visual Studio Net

 

 

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

 

 

 

no

 

 

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

 

(long text - 2500 characters)

 

 

 

 

 

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?   

 

 

 

2007-04-23

 

 

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)

 

 

Risk Management Plan reviewed and reanalyzed in light of recent breaches to governent systems (such as loss of data in transport; inappropriate storage of privacy data by personnel in travel, commuting or telework status; access to agency systems, etc.). The plan was also updated to reflect risks specific to the shutdown and transition of this system to the reengineered systems under EITA (RMA Investment 13).

 

 

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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