BY2005 DOI GUIDANCE ON OMB CHANGES TO THE A11 EXHIBITS 300

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BY2005 DOI GUIDANCEON OMB CHANGES TO THEA-11
EXHIBITS 300 300-1

• April 2, 2003

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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.

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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

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What is considered major?

• Any project that was reported to OMB last year
• 5M annual cost or gt 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

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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 agencys modernization
  blueprint (EA)
• Supports the Presidents Mgmt. Agenda, special
  interest, high executive visibility
• E-GOV, Departmental, crosscutting (either across
  more than one agency or bureau)

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

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

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Exhibit 53, Part 2 Infrastructure Exhibit 300
Business CasesOMB 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.

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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.

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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

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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 _______

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Summary of Spending Table

• Last line of this table
• Add Government FTE costs

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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?

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Exhibit 300 Business Case(Screening
Questions)Privacy

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

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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
  agencys 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?

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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).

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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.)

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

• Relate this project to the criteria in
• The Departments Draft Strategic Plan (Resource
  Protection, Resource Use, Recreation, Serving
  Communities, Management)
• and to the Presidents 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

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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 projects
  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____.

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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.

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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/ValueMe
  asuring_Highlights_Oct_2002.pdf)

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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.)

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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
  contractors part of the projects overall costs
  and milestone requirements as well as the
  Governments 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.

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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 contractors project management
  system follows the ANSI/EIA Standard 748-A.

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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)

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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.)

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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.

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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)

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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.

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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 projects IT security dollars.)
• II. C. Government Paperwork Elimination Act
  (GPEA) (Relate this project to your bureau/office
  GPEA inventory most recently completed.)

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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)

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Summary of Spending Table

• Last line of this table
• Add Government FTE costs

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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).

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

• Relate this project to the criteria in
• The Departments Draft Strategic Plan (Resource
  Protection, Resource Use, Recreation, Serving
  Communities, Management)
• and to the Presidents 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

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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)

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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 projects
  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.)