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:   

 

 

 

35

 

 

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

 

(short text - 250 characters)

 

 

FSIS Public Health Information Consolidation Projects(PHICP)

 

 

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

 

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

 

 

005-35-01-61-01-1310-00

 

 

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

 

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

 

 

Mixed Life Cycle

 

 

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

 

 

 

FY2008

 

 

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)

 

 

This investment is critical in providing more effective and cost efficient services to protect the public. This investment in new applications, and software, continued support and operations of existing infrastructure, and data centers directly affect FSIS' abilities to achieve improvements in mission performance, management decision-making and oversight, and operational efficiencies. FSIS is following a governance process that ensures “line-of-sight” from investment planning through closeout, eliminate redundancies, and ensures that IT budget dollars are being spent on projects that are beneficial to the agency, relate to the performance goals, and both support the mission and advance the agency enterprise architecture. PHICP consists of multiple systems that have the same primary Business Reference Model (BRM) classification. The investment provides a Service Oriented Architecture approach for single source for mission critical data reporting, establishes a common service for authentication/ authorization, uses predictive models to analyze real time data from FSIS and other federal, state and local agencies, and provides a consolidated web-based user interface. FSIS’ goal is to provide a strategic roadmap for the implementation of systems such as the Public Health System, to move to a risk based approach for domestic, imported, and exported products. This risk-based approach for processing establishments will give FSIS the ability to anticipate and respond to food safety. The development and continued enhancement of PHS will ensure critical support of the FSIS food defense and food safety mission as a public health regulatory agency. It is essential that FSIS identify, track, prevent, and respond rapidly to food-related issues as they relate to inspection, enforcement, and public communication. The projects under this investment will: improve the agency’s ability to detect the introduction of an intentional/unintentional food borne threats, through an analytical modeling tool; will collect information to assist FSIS with trace back or trace forward investigations for identifying product disposition and/or the origin of hazards; will develop initiatives on food defense issues, assess vulnerabilities, and enhance the food safety inspection program; collaborate with the Food and Drug Administration (FDA) and other agencies. Data from this effort will be used to provide early detection of intentional and non-intentional food emergencies.

 

 

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)

 

 

Francisco Salguero

 

 

Phone Number   

 

(short text - 250 characters)

 

 

202-720-4791

 

 

E-mail   

 

(short text - 250 characters)

 

 

Francisco.Salguero@fsis.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:   

 

 

 

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)

 

 

FSIS uses the following USDA eGov Enterprise Shared Services for their training, web sites development and hosting, and current and future applications: eAuthentication, AgLearn, National Information Technology Center (NITC) hosting services, document and content management, and portal services. Integration with other USDA and federal agencies will be available through a web service model, utilizing the Service Oriented Architecture approach that will increase the sharing of information.

 

 

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)

 

 

Food Safety and Inspection Service

 

 

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

 

 

 

Adequate

 

 

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 2

 

 

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

 

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

 

 

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

 

 

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

 

 

 

yes

 

 

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

 

 

 

no

 

 

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

 

 

 

 

 

 

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)

 

 

 

 

 

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)

 

 

 

 

 

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   

 

 

 

2

 

 

I. A. 20. b. Software   

 

 

 

2

 

 

I. A. 20. c. Services   

 

 

 

69

 

 

I. A. 20. d. Other   

 

 

 

27

 

 

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)

 

 

Michele A. Washington

 

 

I. A. 22. b. Phone Number   

 

(short text - 250 characters)

 

 

202-418-8832

 

 

I. A. 22. c. Title   

 

(short text - 250 characters)

 

 

Branch Chief, Security Policy and Procedures Branch

 

 

I. A. 22. d. E-mail   

 

(short text - 250 characters)

 

 

Michele.Washington@fsis.usda.gov

 

 

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

 

 

 

no

 

 

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

 

Question 24 must be answered by all Investments:

 

 

yes

 

 

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

0.200

0.200

0.200

0.400

 

 

 

 

 

Acquisition

0

0

0

0

 

 

 

 

 

Subtotal Planning & Acquisition

0.200

0.200

0.200

0.400

 

 

 

 

 

Operations & Maintenance

3.360

2.970

2.970

0

 

 

 

 

 

TOTAL

3.560

3.170

3.170

0.400

 

 

 

 

 

Government FTE Costs

1.480

1.480

1.480

4.250

 

 

 

 

 

Number of FTE represented by cost

32

32

32

32

 

 

 

 

 

 

 

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)

 

 

PHICP is a new investment for FY2008 and continues to be updated and streamlined to incorporate the systems within the Health line of business. The FSIS Automated Corporate Technology Suite (FACTS), FY2007 UPI: 005-35-01-61-01-1010-00-404-136, and the Field Automation and Information Management (FAIM), FY2007 UPI: 005-35-01-61-01-1040-00-404-142, are being phased out. PHICP replaces the FSIS Automated Corporate Technology Suite (FY2007 UPI 005-35-01-61-01-1010-00-404-138). The FACTS project was slated to end in 2009. FACTS included both applications and infrastructure. FSIS consolidated its IT infrastructure into an infrastructure business case-Public Health Data Communications Infrastructure System (PHDCIS) (consolidated with the USDA Infrastructure business case) and moved new application development and database support and maintenance to this investment - PHICP. FSIS is re-aligning its investments to better integrate and consolidate all FSIS systems under the health, Line of Business. PHICP will contain systems primarily used to support mission critical FSIS business functions like inspection, surveillance, auditing, and enforcement, etc. PHICP continues FSIS efforts to streamline its applications and systems. FSIS goals for PHICP include moving towards more risk-based policies and procedures throughout agency programs, sharing information with other government agencies, having a common set of data tables, developing the Enterprise Reporting System (ERS), supporting AssuranceNet, and developing the new Public Health System (PHS). FSIS is also working directly with the department to ensure the system user model leverage the Enterprise Identity Management Service as part of the system authorization model and initial provisioning and deactivation of employees and contractors. The FSIS framework will ensure that the web services technology built into the new FSIS systems, such as the Public Health System, will allow for integration with other USDA agency, departmental, and other federal agencies; as well as eliminate duplicate efforts for various system functions, data and integration points.

 

 

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

2006

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Customer Results

Timeliness

OM-158 Percentage of electronic information collections completed online

5%

Increase to 10%

10%

2006

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Mission and Business Results

Information Management

OM-139 Percentage of forms being mailed and re-keyed

75%

33% forms mailed and rekeyed

75%

2006

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Processes and Activities

Timeliness

Reduce time to process transactional data into the data warehouse

8 hours

Reduce by 1 hour

7 hours

2006

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Technology

Efficiency

OM-137 Number of component systems sharing data with corporate database.

7

Increase to 10

9

2006

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Technology

Efficiency

Reduce the number of reader applications

5 Readers

Decrease to 4 Readers

4 readers in use

2007

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Customer Results

Timeliness

OM-158 Percentage of electronic information collections completed online

10%

Increase to 20%

Results will be obtained by 1st Qtr FY 2008

2007

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Mission and Business Results

Information Management

OM-139 Percentage of forms being mailed and re-keyed

75%

33% forms mailed and rekeyed

Results will be obtained by 1st qtr FY2008

2007

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Processes and Activities

Timeliness

Reduce time to process transactional data into the data warehouse

7 hours

Reduce by 1 hour

Results will be obtained by 1st Qtr FY 2008

2007

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Technology

Efficiency

OM-137 Number of component systems sharing data with corporate database.

9

Increase to 20

Results will be obtained by 1st Qtr FY 2008

2007

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Technology

Efficiency

Reduce the number of reader applications

4 Readers

Decrease to 3 Readers

Results will be obtained by 1st Qtr FY 2008

2008

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Customer Results

Timeliness

OM-158 Percentage of electronic information collections completed online

20%

Increase to 30%

Results will be obtained by 1st Qtr FY 2009

2008

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Mission and Business Results

Information Management

OM-139 Percentage of forms being mailed and re-keyed

33%

15% forms mailed and rekeyed

Results will be obtained by 1stQtr FY2009

2008

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Processes and Activities

Timeliness

Reduce time to process transactional data into the data warehouse

5 hours

Reduce by 2 hour

Results will be obtained by 1st Qtr FY 2009

2008

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Technology

Efficiency

OM-137 Number of component systems sharing data with corporate database.

20

Increase to 25

Results will be obtained by 1st Qtr FY 2009

2008

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Technology

Efficiency

Reduce the number of reader applications

3 Readers

Decrease to 2 Readers

Results will be obtained by 1st Qtr FY 2009

2009

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Customer Results

Timeliness

OM-158 Percentage of electronic information collections completed online

30%

Increase to 40%

Results will be obtained by 1st Qtr FY 2010

2009

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Mission and Business Results

Information Management

OM-139 Percentage of forms being mailed and re-keyed

15%

10% forms mailed and rekeyed

Results will be obtained by 1stQtr FY 2010

2009

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Processes and Activities

Timeliness

Reduce time to process transactional data into the data warehouse

3 hours

Reduce by 2 hour

Results will be obtained by 1st Qtr FY 2010

2009

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Technology

Efficiency

OM-137 Number of component systems sharing data with corporate database.

25

Increase to 30

Results will be obtained by 1st Qtr FY 2010

2009

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Technology

Efficiency

Reduce the number of reader applications

2 Readers

Decrease to 1 Readers

Results will be obtained by 1st Qtr FY 2010

2010

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Customer Results

Timeliness

OM-158 Percentage of electronic information collections completed online

40%

Increase to 50%

Results will be obtained by 1st Qtr FY 2011

2010

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Mission and Business Results

Information Management

OM-139 Percentage of forms being mailed and re-keyed

10%

5% forms mailed and rekeyed

Results will be obtained by 1stQtr FY 2011

2010

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Processes and Activities

Timeliness

Reduce time to process transactional data into the data warehouse

1 hour

Reduce by 30 minutes

Results will be obtained by 1st Qtr FY 2011

2010

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Technology

Efficiency

OM-137 Number of component systems sharing data with corporate database.

30

Increase to 35

Results will be obtained by 1st Qtr FY 2011

2010

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Technology

Efficiency

Reduce the number of reader applications

1 Readers

Information obtained through ERS

Results will be obtained by 1st Qtr FY 2011

2011

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Customer Results

Timeliness

OM-158 Percentage of electronic information collections completed online

50%

Increase to 60%

Results will be obtained by 1st Qtr FY 2011

2011

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Mission and Business Results

Information Management

OM-139 Percentage of forms being mailed and re-keyed

5%

0% forms mailed and rekeyed

Results will be obtained by 1stQtr FY 2011

2011

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Processes and Activities

Timeliness

Reduce time to process transactional data into the data warehouse

30 min

Reduce by 10 minutes

Results will be obtained by 1st Qtr FY 2011

2011

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Technology

Efficiency

OM-137 Number of component systems sharing data with corporate database.

35

Increase to 40%

Results will be obtained by 1st Qtr FY 2011

2011

Enhance Protection and Safety of the Nation's Agriculture and Food Supply

Technology

Efficiency

Reduce the number of reader applications

0 Readers

Information obtained through ERS

Results will be obtained by 1st Qtr FY 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)

Back Office Services

Integrated data allows knowledge discovery from disparate data sources

Asset / Materials Management

Property / Asset Management

Property / Asset Management

005-35-01-61-01-1010-00

Internal

2

Business Analytical Services

Data is integrated from multiple Sources

Business Intelligence

Data Mining

Data Mining

005-35-01-61-01-1010-00

Internal

2

Business Analytical Services

Data is integrated from multiple Sources

Business Intelligence

Demand Forecasting / Mgmt

Demand Forecasting / Mgmt

005-35-01-61-01-1010-00

Internal

2

Support Services

Data is integrated from multiple Sources

Collaboration

Task Management

Task Management

005-35-01-61-01-1010-00

Internal

2

Support Services

Data is integrated from multiple Sources

Collaboration

Threaded Discussions

Threaded Discussions

005-35-01-61-01-1010-00

Internal

2

Digital Asset Services

Data is integrated from multiple Sources

Content Management

Tagging and Aggregation

Tagging and Aggregation

005-35-01-61-01-1010-00

Internal

2

Customer Services

Integrated data allows knowledge discovery from disparate data sources

Customer Relationship Management

Customer / Account Management

Customer / Account Management

005-35-01-61-01-1010-00

Internal

2

Back Office Services

Data is integrated from multiple Sources

Data Management

Data Classification

Data Classification

005-35-01-61-01-1010-00

Internal

2

Back Office Services

Data is integrated from multiple Sources

Data Management

Data Exchange

Data Exchange

005-35-01-61-01-1010-00

Internal

2

Back Office Services

Data is integrated from multiple Sources

Data Management

Data Mart

Data Mart

005-35-01-61-01-1010-00

Internal

2

Back Office Services

Data is integrated from multiple Sources

Data Management

Data Warehouse

Data Warehouse

005-35-01-61-01-1010-00

Internal

3

Back Office Services

Data is integrated from multiple Sources

Data Management

Extraction and Transformation

Extraction and Transformation

005-35-01-61-01-1010-00

Internal

3

Back Office Services

Data is integrated from multiple Sources

Data Management

Loading and Archiving

Loading and Archiving

005-35-01-61-01-1010-00

Internal

2

Back Office Services

Data is integrated from multiple Sources

Development and Integration

Data Integration

Data Integration

005-35-01-61-01-1010-00

Internal

2

Digital Asset Services

Integrated data allows knowledge discovery from disparate data sources

Document Management

Classification

Classification

005-35-01-61-01-1010-00

Internal

2

Digital Asset Services

Integrated data allows knowledge discovery from disparate data sources

Document Management

Document Imaging and OCR

Document Imaging and OCR

005-35-01-61-01-1010-00

Internal

2

Digital Asset Services

Integrated data allows knowledge discovery from disparate data sources

Document Management

Document Referencing

Document Referencing

005-35-01-61-01-1010-00

Internal

2

Digital Asset Services

Integrated data allows knowledge discovery from disparate data sources

Document Management

Document Review and Approval

Document Review and Approval

005-35-01-61-01-1010-00

Internal

2

Digital Asset Services

Integrated data allows knowledge discovery from disparate data sources

Document Management

Document Revisions

Document Revisions

005-35-01-61-01-1010-00

Internal

2

Support Services

Data is integrated from multiple Sources

Forms Management

Forms Modification

Forms Modification

005-35-01-61-01-1010-00

Internal

3

Back Office Services

Integrated data allows knowledge discovery from disparate data sources

Human Capital / Workforce Management

Workforce Directory / Locator

Workforce Directory / Locator

005-35-01-61-01-1010-00

Internal

2

Digital Asset Services

Integrated data allows knowledge discovery from disparate data sources

Knowledge Management

Categorization

Categorization

005-35-01-61-01-1010-00

Internal

2

Digital Asset Services

Integrated data allows knowledge discovery from disparate data sources

Knowledge Management

Information Mapping / Taxonomy

Information Mapping / Taxonomy

005-35-01-61-01-1010-00

Internal

2

Digital Asset Services

Integrated data allows knowledge discovery from disparate data sources

Knowledge Management

Information Retrieval

Information Retrieval

005-35-01-61-01-1010-00

Internal

2

Digital Asset Services

Integrated data allows knowledge discovery from disparate data sources

Knowledge Management

Information Sharing

Information Sharing

005-35-01-61-01-1010-00

Internal

2

Digital Asset Services

Integrated data allows knowledge discovery from disparate data sources

Knowledge Management

Knowledge Capture

Knowledge Capture

005-35-01-61-01-1010-00

Internal

2

Digital Asset Services

Integrated data allows knowledge discovery from disparate data sources

Knowledge Management

Knowledge Distribution and Delivery

Knowledge Distribution and Delivery

005-35-01-61-01-1010-00

Internal

2

Business Management Services

Integrated data allows knowledge discovery from disparate data sources

Management of Processes

Risk Management

Risk Management

005-35-01-61-01-1010-00

Internal

2

Business Management Services

Integrated data allows knowledge discovery from disparate data sources

Organizational Management

Network Management

Network Management

005-35-01-61-01-1010-00

Internal

2

Business Management Services

Integrated data allows knowledge discovery from disparate data sources

Organizational Management

Workgroup / Groupware

Workgroup / Groupware

005-35-01-61-01-1010-00

Internal

2

Business Analytical Services

Data is integrated from multiple Sources

Reporting

Ad Hoc

Ad Hoc

005-35-01-61-01-1010-00

Internal

2

Business Analytical Services

Data is integrated from multiple Sources

Reporting

Standardized / Canned

Standardized / Canned

005-35-01-61-01-1010-00

Internal

3

Support Services

Data is integrated from multiple Sources

Search

Classification

Classification

005-35-01-61-01-1010-00

Internal

2

Support Services

Data is integrated from multiple Sources

Search

Pattern Matching

Pattern Matching

005-35-01-61-01-1010-00

Internal

2

Support Services

Data is integrated from multiple Sources

Search

Precision / Recall Ranking

Precision / Recall Ranking

005-35-01-61-01-1010-00

Internal

2

Support Services

Data is integrated from multiple Sources

Search

Query

Query

005-35-01-61-01-1010-00

Internal

2

eAuthentication

eAuthentication is an enterprise wide single signon method for web applications. Some applications in this investment will use eAuthentication

Security Management

Access Control

Access Control

005-03-01-81-04-0250-24

Internal

2

Support Services

Integrated data allows knowledge discovery from disparate data sources

Security Management

Audit Trail Capture and Analysis

Audit Trail Capture and Analysis

005-35-01-61-01-1010-00

Internal

2

Support Services

Integrated data allows knowledge discovery from disparate data sources

Security Management

Digital Signature Management

Digital Signature Management

005-35-01-61-01-1010-00

Internal

2

Process Automation Services

Integrated data allows knowledge discovery from disparate data sources

Tracking and Workflow

Case Management

Case Management

005-35-01-61-01-1010-00

Internal

2

Process Automation Services

Integrated data allows knowledge discovery from disparate data sources

Tracking and Workflow

Change Management

Change Management

005-35-01-61-01-1010-00

Internal

2

Process Automation Services

Integrated data allows knowledge discovery from disparate data sources

Tracking and Workflow

Process Tracking

Process Tracking

005-35-01-61-01-1010-00

Internal

2

Process Automation Services

Integrated data allows knowledge discovery from disparate data sources

Tracking and Workflow

Program / Project Management

Program / Project Management

005-35-01-61-01-1010-00

Internal

2

 

 

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)

Ad Hoc

Component Framework

Data Management

Reporting and Analysis

Business Objects Enterprise / Cyrstal Reports

Ad Hoc

Component Framework

Data Management

Reporting and Analysis

Business Objects Enterprise 1.1

Ad Hoc

Component Framework

Data Management

Reporting and Analysis

SigmaPlot Sstat, 8

Ad Hoc

Component Framework

Data Management

Reporting and Analysis

Business Objects Crystal Enterprises CE 10

Ad Hoc

Component Framework

Data Management

Reporting and Analysis

Business Objects Crystal Reports Professional

Classification

Component Framework

Data Management

Reporting and Analysis

Business Objects Enterprise / Crystal Reports

Data Exchange

Component Framework

Data Interchange

Data Exchange

Microsoft Visual Studio.NET 2003

Data Exchange

Component Framework

Data Interchange

Data Exchange

Microsoft Visual Studio, 2003, 2004, 2005

Digital Signature Management

Component Framework

Security

Database

Entrust/Entellience 7.0 Patch 90536

Digital Signature Management

Component Framework

Security

Extranet

SafeNet, Ikey 1032 USB Access Tokens, SiteMinder

Forms Modification

Component Framework

Business Logic

Platform Dependent

Adobe Systems 5, 6, and 7

Information Retrieval

Component Framework

Data Management

Reporting and Analysis

Business Objects Enterprise / Cyrstal Reports

Information Retrieval

Component Framework

Data Management

Reporting and Analysis

Business Objects Enterprise 1.1

Information Retrieval

Component Framework

Data Management

Reporting and Analysis

SigmaPlot Sstat, 8

Information Retrieval

Component Framework

Data Management

Reporting and Analysis

Business Objects Crystal Enterprises CE 10

Information Retrieval

Component Framework

Data Management

Reporting and Analysis

Business Objects Crystal Reports Professional

Standardized / Canned

Component Framework

Data Management

Reporting and Analysis

Business Objects Enterprise / Cyrstal Reports

Standardized / Canned

Component Framework

Data Management

Reporting and Analysis

Business Objects Enterprise 1.1

Standardized / Canned

Component Framework

Data Management

Reporting and Analysis

SigmaPlot Sstat, 8

Standardized / Canned

Component Framework

Data Management

Reporting and Analysis

Business Objects Crystal Enterprises CE 10

Standardized / Canned

Component Framework

Data Management

Reporting and Analysis

Business Objects Crystal Reports Professional

Access Control

Service Access and Delivery

Service Requirements

Authentication / Single Sign-on

Windows Authentication

Access Control

Service Access and Delivery

Service Requirements

Authentication / Single Sign-on

USDA-USDA Enterprise Shared Services

Audit Trail Capture and Analysis

Service Access and Delivery

Service Requirements

Legislative / Compliance

Lumigent DB Audit (Entegra), 2.2.3

Customer / Account Management

Service Access and Delivery

Access Channels

Web Browser

Internet Explorer 6.X or latest supported version

Customer / Account Management

Service Access and Delivery

Access Channels

Web Browser

Mozilla Foxfire version 1.X

Customer / Account Management

Service Access and Delivery

Delivery Channels

Internet

www.fsis.usda.gov

Customer / Account Management

Service Access and Delivery

Delivery Channels

Intranet

inside.fsis.usda.gov

Customer / Account Management

Service Access and Delivery

Delivery Channels

Virtual Private Network (VPN)

Internet Security and Acceleration server (ISA) 2000, 2004

Customer / Account Management

Service Access and Delivery

Delivery Channels

Virtual Private Network (VPN)

Radius Server, 2000

Data Mart

Service Platform and Infrastructure

Database / Storage

Database

Sybase Adaptive Server, 12.5.2

Data Mining

Service Platform and Infrastructure

Database / Storage

Database

Sybase Adaptive Server, 12.5.2

Data Warehouse

Service Platform and Infrastructure

Database / Storage

Database

Sybase Adaptive Server, 12.5.2

 

 

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)

 

 

FSIS will incorporate the USDA eAuthentication single sign-in for FSIS' web based applications. FSIS is also working directly with the department to ensure the system user model leverage the Enterprise Identity Management Service as part of the system authorization model and initial provisioning and deactivation of employees and contractors. The FSIS framework will ensure that the web services technology built into the new FSIS systems, such as the Public Health System, will allow for integration with other USDA agency, departmental, and other federal agencies; as well as eliminate duplicate efforts for various system functions, data and integration points.

 

 

PART II: PLANNING, ACQUISITION AND PERFORMANCE INFORMATION  

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

 

 

 

Section A: Alternatives Analysis (All Capital Assets)  

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

 

 

 

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

 

 

 

yes

 

 

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

 

 

 

2007-08-31

 

 

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

 

 

 

 

 

 

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

 

(medium text - 500 characters)

 

 

 

 

 

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

 

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

 

 

 

Description of Alternative

Risk Lifecycle Cost Estimate

Risk Lifecycle Benefits Estimate

 

 

 

 

 

 

 

 

3 - Hybrid Consolidated System development

Develop a new system to replace the existing legacy applications on a standard development platform, leveraging of existing USDA enterprise services and components. This includes the adoption of newer technology in the development platform, tools and standards. Cons: higher initial costs. Pros: reduction of duplicate system(s), ability for system integration, and automation of manual processes

68500000.000

90832156.000

 

 

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

 

(long text - 2500 characters)

 

 

Option 3-Replace legacy system will enable FSIS to ensure the systems are scalable an sustainable, as well as ensuring the technology utilized will enable FSIS to build future integration points with other systems within USDA and other federal agencies. This option will also provide better system and business process efficiencies that will help improve the quality, response time, accessibility of data stored and reported by FSIS.

 

 

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

 

(long text - 2500 characters)

 

 

Replace legacy system will enable FSIS to ensure the systems are scalable an sustainable, as well as ensuring the technology utilized will enable FSIS to build future integration points with other systems within USDA and other federal agencies. The benefits realized through the implementation of Replace legacy system will include several qualitative measurements such as: Mission and Business Results - reduction of re-keying of form data by web-enabling the user interfaces; Customer Results - availability of online data submission, reduction of processing for data collection by aligning the business processes with a robust system workflow; Technology - reduction of disparate systems by integrating the systems into a modularized base system utilizing new technology for system communications( XML, web services, etc.), leveraging of existing USDA enterprise services and components where applicable to improve development time (i.e. eAuthentication) and standardization of system platforms and databases; Process and Activities the current time to run the data warehouse for daily transactional data will be significantly reduced through use of new technology and tools.

 

 

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

 

 

 

yes

 

 

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

 

 

 

This Investment

 

 

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

 

 

 

 

UPI if available

Date of the System Retirement

LEARN

005-35-01-61-01-1310-00

2012-09-28

LSFS

005-35-01-61-01-1310-00

2012-09-28

MARCIS

005-35-01-61-01-1310-00

2012-09-28

STEPS

005-35-01-61-01-1310-00

2012-09-28

 

 

Section B: Risk Management (All Capital Assets)  

You should have performed a risk assessment during the early planning and initial concept phase of this investment's life-cycle, developed a risk-adjusted life-cycle cost estimate and a plan to eliminate, mitigate or manage risk, and be actively managing risk throughout the investment's life-cycle.

 

 

 

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

 

 

 

yes

 

 

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

 

 

 

2007-08-07

 

 

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

 

 

 

no

 

 

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

 

(long text - 2500 characters)

 

 

Consolidation of FAIM, FACTS, and HATS, for which risk plans were developed, will consolidate the risk plans. The 2006 security breach of personnel data at USDA also made the whole agency re-evaluate risk.

 

 

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)

 

 

The project schedule and estimated costs include the costs to mitigate the identified risks by quantifying the each of the risk areas and associating a cost value to mitigate the risk. The methodology used to estimate the cost value to the risk areas is based on project management best practices, lessons learned, and analysis of the FACTS development projects. The project tasks identified for each of the development sub-projects include increase of cost\hours for complex tasks with higher risks. Based on new funding provided in FY2007 and updated priorities; FSIS has invested in the development of the Public Health System (PHS) as the means to consolidate separate initiatives prior to the design and development stage for the systems. The PHS development effort will incorporate the following major initiatives: Modeling and Analysis (FABIS), Domestic Inspection (Performance\Risk Based Inspection), Exported and Imported Product inspection (Automated Export Import Inspection System). The initiatives will be combined into PHS as modules within the system, which will also include the inspection, enforcement, surveillance, and schedule functions for domestic, import and export products. The consolidation of these initiatives will allow FSIS to better streamline the system processes and develop a scalable and supportable Service Oriented Architecture.

 

 

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

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

 

 

 

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

 

 

 

 

 

 

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

 

 

 

 

 

 

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

 

 

 

 

 

 

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

 

(long text - 2500 characters)

 

 

 

 

 

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

 

(long text - 2500 characters)

 

 

 

 

 

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

 

 

 

 

 

 

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

 

 

 

 

 

 

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

 

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

 

 

 

 

 

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

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

 

 

 

Section A: Risk Management (All Capital Assets)  

You should have performed a risk assessment during the early planning and initial concept phase of this investment’s life-cycle, developed a risk-adjusted life-cycle cost estimate and a plan to eliminate, mitigate or manage risk, and be actively managing risk throughout the investment’s life-cycle.

 

 

 

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

 

 

 

 

 

 

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

 

 

 

 

 

 

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

 

 

 

 

 

 

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

 

(long text - 2500 characters)

 

 

 

 

 

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

 

 

 

 

 

 

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

 

 

 

 

 

 

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

 

(long text - 2500 characters)

 

 

 

 

 

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

 

 

III. B. 1. Was operational analysis conducted?   

 

 

 

 

 

 

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

 

 

 

 

 

 

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

 

(long text - 2500 characters)

 

 

 

 

 

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

 

(long text - 2500 characters)

 

 

 

 

 

III. B. 2. Complete the following table to compare actual cost performance against the planned cost performance baseline. Milestones reported may include specific individual scheduled preventative and predictable corrective maintenance activities, or may be the total of planned annual operation and maintenance efforts).  

(Character Limitations: Description of Milestone - 250 Characters)

 

 

 

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

 

 

 

 

 

 

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

 

 

 

 

 

 

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

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

 

 

 

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

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

 

 

 

IV. A. 1. Stakeholder Table   

 

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

 

 

 

 

 

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

 

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

 

 

 

 

 

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

 

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

 

 

 

 

 

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

 

 

 

 

 

 

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

 

 

 

 

 

 

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

 

 

 

 

 

 

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

 

(medium text - 500 characters)

 

 

 

 

 

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

 

 

 

 

 

 

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

 

(long text - 2500 characters)

 

 

 

 

 

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

 

(long text - 2500 characters)

 

 

 

 

 

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

 

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

 

 

 

 

 

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

 

 

 

 

 

 

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

 

 

 

 

 

 

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

 

 

 

 

 

 

Section B: Risk Management (All Capital Assets)  

You should have performed a risk assessment during the early planning and initial concept phase of this investment’s life-cycle, developed a risk-adjusted life-cycle cost estimate and a plan to eliminate, mitigate or manage risk, and be actively managing risk throughout the investment’s life-cycle.

 

 

 

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

 

 

 

 

 

 

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

 

 

 

 

 

 

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

 

 

 

 

 

 

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

 

(long text - 2500 characters)

 

 

 

 

 

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

 

 

 

 

 

 

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

 

 

 

 

 

 

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

 

(long text - 2500 characters)

 

 

 

 

 

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

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

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

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

 

 

 

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

 

 

 

 

 

 

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

 

 

 

 

 

 

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

 

(long text - 2500 characters)

 

 

 

 

 

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

 

(long text - 2500 characters)

 

 

 

 

 

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

 

NOT applicable for capital assets with ONLY O&M.

 

 

 

 

 

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

 

 

 

 

 

 

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

 

(long text - 2500 characters)

 

 

 

 

 

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

 

(long text - 2500 characters)

 

 

 

 

 

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

 

Applicable to ALL capital assets

 

 

 

 

 

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

 

Applicable to ALL capital assets

 

 

 

 

 

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

 

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

 

 

 

 

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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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