# Presentation: 665439

## BY2005 DOI GUIDANCEON OMB CHANGES TO THEA-11 EXHIBITS 300 & 300-1

**April 2, 2003**

## What must be submitted?	

- Exhibits 300 or 300-1 must be submitted for all new or ongoing major and non-major IT projects for which you request funding in the 2005 budget.
- Funding will be approved ONLY for projects that have business cases that have been reviewed and approved through the CPIC process.

## Which form should I use?

- Exhibits 300 business cases must be prepared for all major projects
- Exhibits 300-1 project profiles must be prepared for all non-major projects and other qualifying “major” projects

## What is considered “major”?

- Any project that was reported to OMB last year
- $5M annual cost or > $35M life cycle costs
- Financial systems with a life cycle of more than $500,000
- Importance to the mission or its significant role in administration of programs, finances, property, or other resources

## What is considered “major”? (cont.)

- Is included in the IT Systems Security Inventory
- Links to the first two layers of the FEA
- Is an integral part of the agency’s modernization blueprint (EA)
- Supports the President’s Mgmt. Agenda, “special interest”, high executive visibility
- E-GOV, Departmental, crosscutting (either across more than one agency or bureau)

## When can I use an Exhibit 300-1, Project Profile?

- Contributing partner in any
-    E-GOV, departmental, or crosscutting system
- Legacy, O&M system that is being migrated to new e-business solution
- Non-Major project

## Exhibit 53, Part 2 Infrastructure Exhibit 300 Business CasesOMB says:

- There are hundreds of projects (major and non-major) identifying office automation, infrastructure, and telecommunication needs.  By having one business case per area, this would enforce the “unify and simplify” strategy.

## Exhibit 53, Part 2 Infrastructure Exhibit 300 Business Cases

- OMB has decided that the Part 2 Infrastructure section of the Exhibit 53 IT Portfolio will be broken up into three (3) major business cases (to be done by DOI):
- Office Automation
- Infrastructure
- Telecommunications
- There will still be some major projects in this section of the Exhibit 53, i.e. Narrowband Radios, DOI Enterprise Services Network, etc.

## Exhibit 300 Business Case(Header information)

- Agency
- Bureau
**Location in Budget**
- Account Title
- Account Identification Code
- Program Activity
- Name of Project
**Unique Project Identifier: (IT only)(See section **_**53**_**)**
- Project Initiation Date
- Project Planned Completion Date

- Department of the Interior
- The name of your bureau or office
- (Work with DOI Budget Office)
- Title of the account used in the Exhibit 53
- Same as 4-digit funding source used in the Exhibit 53
- Name of the Program Office of the Program Sponsor
- Same as the 23-digit identifier that is used on the Exhibit 53
**The identifier that is used on the Exhibit 53 (123-45-01-01-01-0001-00-XXX-XXX, where XXX-XXX maps to the FEA business area and line of business)**
- Date that Program begins, including planning
- Enter the project date the project will complete

## Exhibit 300 Business Case(Screening Questions)SHOWSTOPPERS

- Did the Executive/Investment Review Committee approve funding for this project this year?  (Bureau IT Review Board)
- Did the CFO review the cost goal? (Bureau CFO) **Initials:**_** ____**_
- Did the Procurement Executive review the acquisition strategy? (Bureau Procurement Executive)  **Initials:**_** _______**_

## Summary of Spending Table

- Last line of this table:
** ****Add Government        FTE costs**

## Exhibit 300 Business Case(Screening Questions)GPEA

**b. Does this project implement electronic transactions or record keeping that is covered by the Government Paperwork Elimination Act (GPEA)? (Coordinate with Bureau Records Officer)**
- If so, is it included in your GPEA plan (and does not yet provide an electronic option)?
- Does the project already provide an electronic option?

## Exhibit 300 Business Case(Screening Questions)Privacy

- Was a privacy impact assessment performed for this project? (Coordinate with Bureau Privacy/FOIA Officer)

## Exhibit 300 Business Case(Screening Questions)Security

- Does this project support homeland security goals and objectives? (match Exhibit 53)
- Was this project reviewed as part of the FY 2002 Government Information Security Reform Act review process? ) (Coordinate with Bureau IT Security Officer)
- If yes, were any weaknesses found?
- Have the weaknesses been incorporated into the agency’s corrective action plans?
- Has this project been identified as a national critical operation or asset by a Project Matrix review or other agency determination?
- If no, is this an agency mission critical or essential service, system, operation, or asset (such as those documented in the agency's COOP Plan), other than those identified above as national critical infrastructures?

## Exhibit 300 Business Case(I.A. Project Description)

- Provide a brief description of this project and its status through your capital planning and investment control (CPIC) or capital programming "control" review for the current cycle.
- What assumptions are made about this project and why?
- Provide any other supporting information derived from research, interviews, and other documentation.
**Provide at least two major milestone accomplishments of this project over the last year.**
**Provide at least two planned milestones for this project for this budget year (2005).**

## Exhibit 300 Business Case(I.B. Justification)

- How does this investment support your agency's mission and strategic goals and objectives? (Resource Protection, Resource Use, Recreation, Serving Communities, Management)
- How does it support the strategic goals from the President's Management Agenda? (Human Capital, Competitive Sourcing, Financial Performance, E-Government, Budget and Performance Integration)
- Are there any alternative sources in the public or private sectors that could perform this function?
- If so, explain why your agency did not select one of these alternatives. (A strong justification is required if a viable alternative is discarded.)

## Exhibit 300 Business Case(I.C. Performance Goals and Measures)

- Relate this project to the criteria in:
- The Department’s Draft Strategic Plan (Resource Protection, Resource Use, Recreation, Serving Communities, Management)
- and to the President’s Management Agenda (Human Capital, Competitive Sourcing, Financial Performance, E-Government, Budget and Performance Integration)
- Same as identified in the Exhibit 53 in last two columns

## Exhibit 300 Business Case(I.B. Justification cont.)

- 5.	Who are the customers for this project? (Who are they?  What are their wants and needs relative to this project?  How strong is user support for this project?  What is their involvement in this project? What is their continued involvement throughout this project’s life cycle?)
- 6.	Who are the stakeholders of this project?  (Stakeholders are individuals who can influence the outcome of this project.  Document any coordination with State, Local, and/or Tribal governments.)
- 7.	If this is a multi-agency initiative, identify the agencies and organizations affected by this initiative.  (Identify whether you are the lead or managing partner and document all partners and impacted agencies and organizations.)
**7a.****	****Discuss the partnering strategies you are implementing with the agencies participating in this project.**
- 8. 	How will this investment reduce costs or improve efficiencies?
- 9.    List all other assets that interface with this asset_____.  Have these assets been reengineered as part of this project?  Yes____,  No____.

## Exhibit 300 Business Case(I.D. Program Management)

- 1.  Is there a program manager assigned to the project? If so, what is his/her name?
-      **1a. Identify the members, roles, qualifications, and contact information of the in-house and contracted project management team of this project.**
- 2.  Is there a contracting officer assigned to the project?  If so, what is his/her name?
- 3.  Is there an Integrated Project Team?
-      3.a.  If so, list the skill set represented.
**4.  Is there a sponsor/owner for this project?  If so, identify the sponsor/process owner of this project.**

## Exhibit 300 Business Case(I.E. Alternative Analysis)

- (OMB assumes the agency has performed risk-adjusted life cycle costs in their analysis of all three alternatives to choose the best solution.  See CIO Council website, under “Best Practices” at http://www.cio.gov/documents/ValueMeasuring_Highlights_Oct_2002.pdf)

## Exhibit 300 Business Case(I.E. Risk Inventory and Assessment)

- Risk assessments for all projects must include **schedule, costs (both initial and life cycle), technical obsolescence, feasibility, reliability of systems, dependencies and interoperability between this project and others, surety (asset protection) considerations, risk of creating a monopoly for future procurements, capability of agency to manage the project, and overall risk of project failure.**  **(Be sure to include all the highlighted risks in addition to the ones listed below for IT projects.)**

## Exhibit 300 Business Case(I.H. Project and Funding Plan)

**I.H.  The information required by this section will be provided by your earned value management system (EVMS) that follows ANSI/EIA Standard 748-A (see section **_**300.4**_** definition of Earned Value Management System), and the software program you (and/or your contractor(s)) use to operate your EVM system.  Program status information in this section must include both the contractor’s part of the project’s overall costs and milestone requirements as well as the Government’s costs and milestone requirements to complete the project segment or module being reported.    Information on earned value management systems is available at http://www.acq.osd.mil/pw.**

## Exhibit 300 Business Case(I.H. Project and Funding Plan cont.)

**I.H.1.  Name the software program that meets ANSI/EIA Standard 748 that you are using, or will use, to analyze contractor provided EVMS information. Describe the process you used to verify that the contractor’s project management system follows the ANSI/EIA Standard 748-A.**

## Exhibit 300 Business Case(I.H. Project and Funding Plan cont.)

- I.H.2. For non-major IT projects only use this section to provide at least two major milestone accomplishments of this project over the last year and at least two planned major milestones for this project for this budget year. (To allow match of questions on the Exhibit 300-1)

## Exhibit 300 Business Case(I.H. Project and Funding Plan cont.)

- I.H.3. If this is a new project in the FY 2005 budget year, or there are no changes to the original baseline, this section will be blank.)

## Exhibit 300 Business Case(I.H. Project and Funding Plan cont.)

- I.H.4. **This section is always filled in to show current status of the project.**  Show for each major project the milestones or events you planned (scheduled) to accomplish and the cost and what work was actually done and the cost. If this is a new project in the FY 2005 budget year, this section will be blank for your initial submission. OMB may ask for the latest information during the budget review process.  **It compares the OMB approved baseline and actual results for this phase, segment, or module of the project.**

## Exhibit 300 Business Case(I.H. Project and Funding Plan cont.)

- Project Summary
**Two independent Estimates at Completion (EAC) = ACWPcum = (Performance Factor (PF) X (BAC minus BCWPcum), where PF1 = 1/CPI, and PF2 = 1/CPI x SPI) **
**Estimated Cost to Complete (ETC) = **

## Exhibit 300 Business Case(I.H.4. Project and Funding Plan cont.)

- C.  If cost and/or schedule variance are a negative 10 percent or more at the time of this report or EAC is projected to be 10 percent or more, explain the reason(s) for the variance(s):
- D.	Discuss the contractor, government, and at least the two EAC index formulas in I.H.4.B, current estimates at completion.  Explain the differences and the IPTs selected EAC for budgeting purposes.
- E.	Provide performance variance.  Explain whether, based on work accomplished to date, you still expect to achieve your performance goals.  If not, explain the reasons for the variance.

## Part II: Additional Business Case Criteria for IT

**II. A. Enterprise Architecture**  (This section will be completely redone since the UPI will contain links to the FEA business area and line of business.)
**II. B. Security and Privacy, 1,A.** What is the total dollar amount allocated to security for this project in FY 2005?  (This amount as compared to total project funding should match the percentage for security you indicated on the Exhibit 53.  Any part of security for this project that is funded through a different project (Exhibit 300) should not be included as part of this project’s IT security dollars.)
**II. C. Government Paperwork Elimination Act (GPEA) **(Relate this project to your bureau/office GPEA inventory most recently completed.)

## Exhibit 300-1 Project Profile(Header information)

- Agency
- Bureau/Office
**Location in Budget**
- Account Title
- Account Identification Code
- Program Activity
- Name of Project
**Unique Project Identifier: (IT only)(See section **_**53**_**)**
- Project Composition (DOI Requirement)

- Department of the Interior
- The name of your bureau or office
- (Work with DOI Budget Office)
- Title of the account used in the Exhibit 53
- Same as 4-digit funding source used in the Exhibit 53
- Name of the Program Office of the Program Sponsor
- Same as the 23-digit identifier that is used on the Exhibit 53
**The identifier that is used on the Exhibit 53 (123-45-01-01-01-0001-00-XXX-XXX, where XXX-XXX maps to the FEA business area and line of business)**
- % Financial (match Exhibit 53)
- 	% Security (match Exhibit 53)
- 	Homeland Sec. Y/N (match Exh. 53)
- 	Current E-Gov (Y/N/Potential)

## Summary of Spending Table

- Last line of this table:
** ****Add Government        FTE costs**

## Exhibit 300-1 Project Profile(I.A. Project Description)

- Provide a brief description of this project and its status through your capital planning and investment control (CPIC) or capital programming "control" review for the current cycle.
- What assumptions are made about this project and why?
- Provide any other supporting information derived from research, interviews, and other documentation.
**Provide at least two major milestone accomplishments of this project over the last year.**
**Provide at least two planned milestones for this project for this budget year (2005).**

## Exhibit 300-1 Project Profile(I.C. Performance Goals and Measures)

- Relate this project to the criteria in:
- The Department’s Draft Strategic Plan (Resource Protection, Resource Use, Recreation, Serving Communities, Management)
- and to the President’s Management Agenda (Human Capital, Competitive Sourcing, Financial Performance, E-Government, Budget and Performance Integration)
- Same as identified in the Exhibit 53 in last two columns

## Exhibit 300-1 Project Profile(I.H. Project and Funding Plan)

- I.H.2. For non-major IT projects only use this section to provide at least two major milestone accomplishments of this project over the last year and at least two planned major milestones for this project for this budget year. (To allow match of questions on the Exhibit 300-1)

## Part II: Additional Project Profile Criteria for IT

**II. A. Enterprise Architecture**  (Provide a description of how the project ties to the Interior Enterprise Architecture and the bureau/office architecture.)
**II. B. Security and Privacy, **What is the total dollar amount allocated to security for this project in FY 2005?  (This amount as compared to total project funding should match the percentage for security you indicated on the Exhibit 53.  Any part of security for this project that is funded through a different project (Exhibit 300) should not be included as part of this project’s IT security dollars.)
**II. C. Government Paperwork Elimination Act (GPEA) **(Indicate if this project supports electronic transactions or record-keeping that is covered by GPEA.  Relate this project to your bureau/office GPEA inventory most recently completed.)