Financial Management Support System (FMSS)

Exhibit 300: Part I: Summary Information and Justification (All

Capital Assets)

Overview

Date of Submission:
Agency: Department of Education
Bureau: Office of the Chief Financial
Officer
Name of this Capital Asset: Financial Management Support
System (FMSS)
Unique Project (Investment) 018-14-01-01-01-1020-00
Identifier: (For IT investment
only, see section 53. For all other,
use agency ID system.)
What kind of investment will this Mixed Life Cycle
be in FY2008? (Please NOTE:
Investments moving to O&M ONLY
in FY2008, with
Planning/Acquisition activities
prior to FY2008 should not select
O&M. These investments should
indicate their current status.)
What was the first budget year FY2001 or earlier
this investment was submitted to
OMB?
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:
The Department expects the following performance outcomes from this
initiative: improved control over and accountability of Department
finances; improved financial management system controls and
practices; improved financial system reporting capabilities and
improved ability to respond to internal and external information
inquiries. Also expected as outcomes is a tighter integration and
streamlining with the Office of Federal Student Aid (OFSA) and business
processes; less manual reconciliation effort for the Financial
Management Operations Group; elimination of redundant entry of
allotments into both the OCFO and OFSA systems; reduction of errors
and improved funds control; better data sharing and centralized data
edits and controls that could otherwise get out of synchronization
between the FMSS and other feeder systems.
Did the Agency's Yes
Executive/Investment Committee
approve this request?
a. If "yes," what was the date of
this approval?
Did the Project Manager review Yes
this Exhibit?
Email Constance.Davis@ed.gov
Has the agency developed and/or Yes
promoted cost effective, energy
efficient and environmentally
sustainable techniques or
practices for this project.
a. Will this investment include No
electronic assets (including
computers)?
b. Is this investment for new No
construction or major retrofit of a
Federal building or facility?
(answer applicable to non-IT
assets only)
1. If "yes," is an ESPC or UESC
being used to help fund this
investment?
2. If "yes," will this
investment meet sustainable
design principles?
3. If "yes," is it designed to be
30% more energy efficient than
relevant code?
Does this investment support one Yes
of the PMA initiatives?
If "yes," check all that apply: Eliminating Improper Payments,
Financial Performance
a. Briefly describe how this The business value that this
asset directly supports the investment provides to the
identified initiative(s)? Department include; improved
control over and accountability
of Department finances;
 improved financial management
system controls and practices;
improved financial system
reporting capabilities and
greater ability to respond to
internal and external
information inquiries. These
improvements allow Department
managers better access to data
to make informed financial
decisions.
Does this investment support a No
program assessed using the
Program Assessment Rating Tool
(PART)? (For more information
about the PART, visit
www.whitehouse.gov/omb/part.)
a. If "yes," does this investment No
address a weakness found during
the PART review?
b. If "yes," what is the name of
the PART program assessed by
OMB's Program Assessment
Rating Tool?
c. If "yes," what PART rating did
it receive?
Is this investment for information Yes
technology?
If the answer to Question: "Is this investment for information
technology?" was "Yes," complete this sub-section. If the
answer is "No," do not answer this sub-section.
For information technology investments only:
What is the level of the IT Level 2
Project? (per CIO Council PM
Guidance)
What project management (2) Project manager
qualifications does the Project qualification is under review for
Manager have? (per CIO Council this investment
PM Guidance):
Is this investment identified as Yes
"high risk" on the Q4 - FY 2006
agency high risk report (per
OMB's "high risk" memo)?
Is this a financial management Yes
system?
a. If "yes," does this investment No
address a FFMIA compliance area?
1. If "yes," which compliance
area:
2. If "no," what does it This investment is in compliance
address? with FASAB, USSGL and JFMIP.
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

What is the percentage breakout for the total FY2008 funding

request for the following? (This should total 100%)
Hardware 0
Software 0
Services 100.000000
Other 0
If this project produces N/A
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?
Are the records produced by this Yes
investment appropriately
scheduled with the National
Archives and Records
Administration's approval?

Summary of Funding

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.
Table 1: SUMMARY OF SPENDING FOR PROJECT PHASES
(REPORTED IN MILLIONS)
(Estimates for BY+1 and beyond are for planning purposes
only and do not represent budget decisions)
PY - 1 BY + BY + BY + BY + 4
PY CY BY
and 1 2 3 and Total
2006 2007 2008
Earlier 2009 2010 2011 Beyond
Planning
Budgetary 0 0 0 0
Resources
Acquisition
Budgetary 16.27 8.899 1.77 1.012
Resources
Subtotal Planning & Acquisition
Budgetary 16.27 8.899 1.77 1.012
Resources
Operations & Maintenance
Budgetary 13.1126 3.302 3.654 3.626
Resources
TOTAL
Budgetary 29.3826 12.201 5.424 4.638
Resources
Government FTE Costs
Budgetary 3.5687 1.6571 1.2331 1.2322
Resources
Number of 0 14.85 10.75 10.25
FTE
represented
by Costs:
Note: For the cross-agency investments, this table should
include all funding (both managing partner and partner
agencies). Government FTE Costs should not be included as part
of the TOTAL represented.
 Will this project require the No
agency to hire additional FTE's?
a. If "yes," How many and in
what year?
If the summary of spending has changed from the FY2007
President's budget request, briefly explain those changes:
No change from the FY2007 President's budget.

Performance Information

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 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 or qualitative
measure.
Agencies must use Table 1 below for reporting performance
goals and measures for all non-IT investments and for existing
IT investments that were initiated prior to FY 2005. The table
can be extended to include measures for years beyond FY 2006.

Performance Information Table 1:

Fiscal Strategic Performance Actual/baseline Planned Performance
Year Goal(s) Measure (from Previous Performance Metric
Supported Year) Metric Results
(Target) (Actual)
2003 Goal 6: Maintain Unqualified % of time As of June 30,
Establish unqualified opinion on the system is 2003 system
 Management opinion on the financial available is availability
Excellence, financial statements. 95% or exceeded 95%
Objective 6.1 statements. greater of time.
Develop and
maintain
financial
integrity and
management
and internal
controls.
2003 Goal 6: Improve to A Yellow rating on % of time As of June 30,
Establish Green the the OMB Stoplightsystem is 2003 system
Management ratings on the Scorecard System available is availability
Excellence, OMB Stoplight for eGov. A Red 95% or exceeded 95%
Objective 6.1 Scorecard rating on all other greater. of time.
Develop and System. categories.
maintain
financial
integrity and
management
and internal
controls.

All new IT investments initiated for FY 2005 and beyond must

use Table 2 and are required to use the Federal Enterprise
Architecture (FEA) Performance Reference Model (PRM). Please
use Table 2 and the PRM to identify the performance
information pertaining to this major IT investment. 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 at least four
different Measurement Areas (for each fiscal year). The PRM is
available at www.egov.gov.
Performance Information Table 2:
l Measurement Measurement Measurement Measurement Baseline Planned Actual Re
Area Category Grouping Indicator Improvement
to the
Baseline
Customer Service Quality Accuracy of 25% or less of 20% of Maintain rate 15.2% of
Results Service or Teamtrack Teamtrack at less than Teamtrack
Product items are FMSSitems are 25% are FMSS
Delivered related. FMSS related.
 related.
Mission and Financial Reporting and Unqualified Unqualified Maintain The Depar
Business Management Information opinion on the opinion on unqualified received a
Results financial the financial opinion on opinion on
statements. statements. financial financial
statements statements
Processes and Quality Errors A Green rating A Green Maintain a The Depar
Activities on the OMB rating on Green rating on maintained
Stoplight the OMB OMB Stoplight Green ratin
Scorecard Stoplight Scorecard the OMB
System Scorecard System. Stoplight
System Scorecard
System.
Technology Reliability and Availability % of time System is Maintain 95% The availab
Availability system is available or greater of the FMS
available is 98% or availability of exceeded 9
95% or greater greater the system. for FY 04.
Customer Service Quality Accuracy of 25% or less of 25% of Maintain For the firs
Results Service or Teamtrack Teamtrack second, th
Product items are FMSSitems are and fourth
Delivered related. FMSS quarters o
related. 2005,
approxima
10% of
teamtrack
were relate
FMSS.
Mission and Financial Reporting and Unqualified Unqualified Maintain The Depar
Business Management Information opinion on the opinion on unqualified received a
Results FY2005 FY2004 opinion audit opini
financial financial the FY 200
statements. statements. financial
statements
produced b
Oracle Fina
Manageme
System.
Processes and Quality Errors A Green rating Green Maintain Green The Depar
Activities on the OMB rating on rating received a
Stoplight scorecard Green ratin
Scorecard system the OMB
System Stoplight
 Scorecard
System da
June 2005
Technology Reliability and Availability % of time System Maintain 98% For the firs
Availability system is available or greater second, th
available is 98% of and fourth
98% or greater time quarters o
2005, the
was availa
98% of the
time.
Customer Service Quality Accuracy of 10% or less of 10% of 8-9% of As of the f
Results Service or Teamtrack Teamtrack Teamtrack quarter of
Product items are FMSSitems are items are FMSS 2006 less
Delivered related. FMSS related. 10% of all
related. Teamtrack
were relate
FMSS.
Mission and Financial Reporting and Unqualified Unqualified Maintain The Depar
Business Management Information opinion on the opinion on unqualified received a
Results FY2006 FY2005 opinion audit opini
financial financial the FY 200
statements. statements. financial
statements
produced b
Oracle Fina
Manageme
System.
Processes and Management Risk All risks in the 100% of Maintain 100% As of the f
Activities and Innovation Risk Log are risks are review of all quarter of
reviewed reviewed risks both 2006, 100
monthly or either monthly and all schedul
quarterly, as monthly or quarterly. risk review
indicated for quarterly. were held
each risk, by the Project
the Project Manageme
Management Team.
Team.
Processes and Quality Errors A Green rating Green Maintain Green The Depar
Activities on the OMB rating on rating received a
Stoplight scorecard GREEN rat
Scorecard system the OMB
System Scorecard
 System for
financial
manageme
the year e
March 200
Technology Reliability and Availability % of time System Maintain 98% As of the f
Availability system is available or greater quarter of
available is 98% of 2006 the F
98% or greater time was availa
100% of th
planned
scheduled
availability
only "down
times" wer
the planne
scheduled
maintenan
Customer Service Quality Accuracy of 10% or less of 10% of 8-9% of For the firs
Results Service or Teamtrack Teamtrack Teamtrack of 07 the
Product items are FMSSitems are items are FMSS Teamtrack
Delivered related. FMSS related. (IMRs) we
related. >10% due
start-up is
related to
implement
of Oracle 1
10/10/06.
During the
month rati
period, the
number of
has decline
from Octob
December.
Mission and Financial Reporting and Unqualified Unqualified Maintain Results are
Business Management Information opinion on the opinion on unqualified expected t
Results FY2007 the FY2006 opinion available
financial financial November
statements. statements.
Mission and Financial Reporting and Ability to Financial Financial The fiscal y
Business Management Information produce statements statements will 2007 first
Results financial are be produced quarter fin
 statements on produced quarterly statements
a quarterly on an successfull
basis annual generated
basis the FMSS p
the
requireme
Processes and Management Risk All risks in the 100% of Maintain 100% As of the f
Activities and Innovation Risk Log are risks are review of all quarter of
reviewed reviewed risks both 2007, 100
monthly or either monthly and all schedul
quarterly, as monthly or quarterly. risk review
indicated for quarterly. were held
each risk, by the Project
the Project Manageme
Management Team.
Team.
Processes and Quality Errors A Green rating Green Maintain Green Results are
Activities on the OMB rating on rating expected t
Stoplight scorecard available J
Scorecard system 2007
System
Technology Reliability and Availability % of time System Maintain 98% As of the f
Availability system is available or greater quarter of
available is 98% of 2007 the F
98% or greater time was availa
100% of th
planned
scheduled
availability
only "down
times" wer
the planne
scheduled
maintenan
Customer Service Quality Accuracy of Less than 10% 8-9% of 7-8% of Results wil
Results Service or of Teamtrack Teamtrack Teamtrack available o
Product items are FMSSissues are issues are quarterly b
Delivered related FMSS FMSS related during FY2
related
Mission and Financial Reporting and Unqualified Unqualified Maintain Results are
Business Management Information audit opinion audit unqualified expected t
Results on FY 2008 opinion on opinions on available
financial previous financial November
 statements year's statements
produced by financial
the FMSS statements
Mission and Financial Reporting and Ability to Financial Quarterly Results wil
Business Management Information produce statements financial available e
Results financial are statements will quarter du
statements on produced be produced by FY2008
a quarterly on an the FMSS
basis annual during FY2008
basis
Processes and Management Risk All risks 100% of Continue Results wil
Activities and Innovation associated with risks are reviewing all available
the FMSS are reviewed by FMSS risks monthly du
reviewed the Project monthly FY2008
monthly by the Manager
Project
Manager
Processes and Quality Errors FMSS receives FMSS has FMSS will Results wil
Activities a GREEN rating scored maintain available J
on the OMB GREEN in GREEN rating 2008
scorecard previous
years
Technology Reliability and Availability % of time FMSS is Maintain 98% Results wil
Availability FMSS is available availability of available
available is 98% or the FMSS quarterly d
98% or greater better during FY2008 FY2008

Enterprise Architecture (EA)

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
Investment 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.
1. Is this investment included in your agency's Yes
target enterprise architecture?
a. If "no," please explain why?
 2. Is this investment included in the agency's EA Yes
Transition Strategy?
a. If "yes," provide the investment name as Financial
identified in the Transition Strategy provided in the Management
agency's most recent annual EA Assessment. Software
System
(FMSS)
b. If "no," please explain why?

3. Service 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.whitehouse.gov/omb/egov/.
Agency Service FEA SRM FEA SRM FEA Service FEA Service Internal
t Component Domain Service Type Component Component Component or
Description Reused Name Reused UPI External
Reuse?
Integrated
Support
Asset / Computers / Computers / 018-14-01-
Services (ISS) Back Office
Materials Automation Automation 01-01-1040- Internal 0
provided by Services
Management Management Management 00
the DoED ISS
Investment.
Analysis on
the ability to
migrate
financial Back Office Data
Data Exchange No Reuse 2
management Services Management
functions to a
shared service
provider
Issue
resolution and Back Office Data
Data Exchange No Reuse 6
baseline Services Management
support
Integrated
Support
018-14-01-
Services (ISS) Back Office Data
Data Exchange Data Exchange 01-01-1040- Internal 0
provided by Services Management
00
the DoED ISS
Investment.
Issue
resolution and Back Office Data
Data Warehouse No Reuse 6
baseline Services Management
support
Integrated
Support
018-14-01-
Services (ISS) Back Office Data Extraction and Extraction and
01-01-1040- Internal 0
provided by Services Management Transformation Transformation
00
the DoED ISS
Investment.
Issue
resolution and Back Office Data Loading and
No Reuse 6
baseline Services Management Archiving
support
Integrated
Support
018-14-01-
Services (ISS) Back Office Data Meta Data Meta Data
01-01-1040- Internal 0
provided by Services Management Management Management
00
the DoED ISS
Investment.
Issue
Development
resolution and Back Office
and Data Integration No Reuse 6
baseline Services
Integration
support
Integrated
Support
Development 018-14-01-
Services (ISS) Back Office
and Data IntegrationData Integration 01-01-1040- Internal 0
provided by Services
Integration 00
the DoED ISS
Investment.
Development Back Office Development Enterprise No Reuse 4
of Services and Application
implementing Integration Integration
a shared
service
provider
 solution for
financial
management
Integrated
Support
Development Enterprise Enterprise 018-14-01-
Services (ISS) Back Office
and Application Application 01-01-1040- Internal 0
provided by Services
Integration Integration Integration 00
the DoED ISS
Investment.
Information
Technology
Infrastructure
Development 018-24-02-
Services Back Office Instrumentation Instrumentation
and 00-01-1020- Internal 0
provided by Services and Testing and Testing
Integration 00
the DoED
EdNet
Investment.
Integrated
Support
Development 018-14-01-
Services (ISS) Back Office Instrumentation Instrumentation
and 01-01-1040- Internal 0
provided by Services and Testing and Testing
Integration 00
the DoED ISS
Investment.
Development
Execution of Back Office Legacy
se and No Reuse 4
cutover Services Integration
Integration
Integrated
Support
Development 018-14-01-
Services (ISS) Back Office Legacy Legacy
and 01-01-1040- Internal 0
provided by Services Integration Integration
Integration 00
the DoED ISS
Investment.
Issue
resolution and Back Office Financial
Auditing No Reuse 4
baseline Services Management
support
Issue
resolution and Back Office Financial Billing and
No Reuse 6
baseline Services Management Accounting
support
Issue Back Office Financial Credit / Charge No Reuse 6
resolution and Services Management
baseline
support
Issue
resolution and Back Office Financial
Debt Collection No Reuse 6
baseline Services Management
support
Issue
resolution and Back Office Financial Expense
No Reuse 6
baseline Services Management Management
support
Issue
resolution and Back Office Financial Internal
No Reuse 6
baseline Services Management Controls
support
Issue
resolution and Back Office Financial Payment /
No Reuse 6
baseline Services Management Settlement
support
The building
of employee
competencies
Back Office Human Education /
for using the No Reuse 1
Services Resources Training
financial
management
system
Integrated
Support
018-14-01-
Services (ISS) Back Office Human Education / Education /
01-01-1040- Internal 0
provided by Services Resources Training Training
00
the DoED ISS
Investment.
Development
of reports and
Business
queries in
Analytical Reporting Ad Hoc No Reuse 2
response to
Services
end user
requests
Development Business Reporting Standardized / No Reuse 2
of reports and Analytical Canned
queries in Services
response to
end user
 requests
Modification of
business Business
Management Change
ts processes and Management No Reuse 1
of Processes Management
system Services
configurations
Integrated
Support
Business 018-14-01-
Services (ISS) Management Change Change
Management 01-01-1040- Internal 0
provided by of Processes Management Management
Services 00
the DoED ISS
Investment.
Integrated
Support
Business 018-14-01-
Services (ISS) Management Configuration Configuration
Management 01-01-1040- Internal 0
provided by of Processes Management Management
Services 00
the DoED ISS
Investment.
Business Program /
Execution of Management
se Management Project No Reuse 1
cutover of Processes
Services Management
Integrated
Support
Business Program / Program / 018-14-01-
Services (ISS) Management
Management Project Project 01-01-1040- Internal 0
provided by of Processes
Services Management Management 00
the DoED ISS
Investment.
Business
Execution of Management Quality
se Management No Reuse 2
cutover of Processes Management
Services
Integrated
Support
Business 018-14-01-
Services (ISS) Management Quality Quality
Management 01-01-1040- Internal 0
provided by of Processes Management Management
Services 00
the DoED ISS
Investment.
Modification of
business Business
Management Requirements
ts processes and Management No Reuse 2
of Processes Management
system Services
configurations
Integrated Business Management Requirements Requirements 018-14-01- Internal 0
 Support
Services (ISS)
Management 01-01-1040-
provided by of Processes Management Management
Services 00
the DoED ISS
Investment.
Information
Technology
Infrastructure
Business 018-24-02-
Services Organizational Network Network
Management 00-01-1020- Internal 0
provided by Management Management Management
Services 00
the DoED
EdNet
Investment.
Modification of
business Document
Digital Asset Document
ts processes and Review and No Reuse 1
Services Management
system Approval
configurations
Modification of
business
Digital Asset Knowledge Information
ts processes and No Reuse 4
Services Management Sharing
system
configurations
Support for
the validation Support Security
Access Control No Reuse 1
of system Services Management
users
Integrated
Support
018-14-01-
Services (ISS) Support Security
Access Control Access Control 01-01-1040- Internal 0
provided by Services Management
00
the DoED ISS
Investment.
Information
Technology
Infrastructure
018-24-02-
Services Support Security
Cryptography Cryptography 00-01-1020- Internal 0
provided by Services Management
00
the DoED
EdNet
Investment.
Integrated Support Security Digital Digital 018-14-01- Internal 0
Support
Services (ISS)
Signature Signature 01-01-1040-
provided by Services Management
Management Management 00
the DoED ISS
Investment.
Support for
Identification
the validation Support Security
and No Reuse 1
of system Services Management
Authentication
users
Information
Technology
Infrastructure
018-24-02-
Services Support Security Intrusion Intrusion
00-01-1020- Internal 0
provided by Services Management Detection Detection
00
the DoED
EdNet
Investment.
Integrated
Support
018-14-01-
Services (ISS) Support Security Intrusion Intrusion
01-01-1040- Internal 0
provided by Services Management Detection Detection
00
the DoED ISS
Investment.
The legal
purchase of
Support Systems License
usage No Reuse 8
Services Management Management
contracts for
software
Integrated
Support
018-14-01-
Services (ISS) Support Systems License License
01-01-1040- Internal 0
provided by Services Management Management Management
00
the DoED ISS
Investment.
Integrated
Support
System System 018-14-01-
Services (ISS) Support Systems
Resource Resource 01-01-1040- Internal 0
provided by Services Management
Monitoring Monitoring 00
the DoED ISS
Investment.

Use existing SRM Components or identify as "NEW". A "NEW"

 component is one not already identified as a service component
in the FEA SRM.
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.
'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.
Please provide the percentage of the BY requested funding
amount used for each service component listed in the table. If
external, provide the funding level transferred to another
agency to pay for the service.

4. 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.
FEA SRM FEA TRM FEA TRM FEA TRM Service
Component Service Area Service Service Specification (i.e.
Category Standard vendor or product
name)
Component Business Platform Microsoft C++
Data Exchange
Framework Logic Independent provided ISS
Computers / Open Database
Component Data Database
Automation Connectivity
Framework Management Connectivity
Management (ODBC)
Oracle
Runtime;Cognos
Component Data Reporting and
Data Integration Impromptu;Cognos
Framework Management Analysis
Query provided by
ISS
Network Component Presentation / Static Display Microsoft Internet
Management Framework Interface Information Server
 provided by EDNET
Certificates /
Digital SignatureComponent
Security Digital TBD
Management Framework
Signatures
Supporting
Network Component UNIX Secure Shell
Security Security
Management Framework provided by ISS
Services
Service Authentication
Service
Cryptography Access and / Single Sign- TBD
Requirements
Delivery on
Service
Network Service Internal provided by
Access and Hosting
Management Requirements EDNET
Delivery
Federal Accounting
Standards Advisory
Board; Joint
Service
Requirements Service Legislative / Financial
Access and
Management Requirements Compliance Management
Delivery
Improvement
Program; Section
508
Service
Network Service Service
Access and Provided by EDNET
Management Transport Transport
Delivery
Service Supporting
Network Service
Access and Network Provided By EDNET
Management Transport
Delivery Services
Service Oracle PL SQL and
Data Exchange Interface and Integration Middleware Net 8 provided by
Integration ISS
Computers / Service
Database / Oracle provided by
Automation Platform and Database
Storage ISS
Management Infrastructure
Computers / Service
Database / IBM SAN provided
Automation Platform and Storage
Storage by ISS
Management Infrastructure
Computers / Service
Delivery Application
Automation Platform and Oracle 10 IAS
Servers Servers
Management Infrastructure
Computers / Service Delivery Web Servers Open Source
Automation Platform and Servers Apache
Management Infrastructure
Computers / Service
Hardware / Servers / IBM PSeries
Automation Platform and
Infrastructure Computers provided by ISS
Management Infrastructure
Service
Requirements Software Rational Rose
Platform and Modeling
Management Engineering provided by ISS
Infrastructure
Rational Enterprise
Service Software
Quality Software Suite and Rational
Platform and Configuration
Management Engineering Clearcase provided
Infrastructure Management
by ISS
Mercury Interactive
Service
Instrumentation Software Test Load Runner/Win
Platform and
and Testing Engineering Management Runner provided by
Infrastructure
ISS
Computers / Service Java 2 Platform
Support Platform
Automation Platform and Enterprise Edition
Platforms Independent
Management Infrastructure (J2EE)
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
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.

5. Will the application leverage No

existing components and/or
applications across the
Government (i.e., FirstGov,
Pay.Gov, etc)?
a. If "yes," please describe.

6. Does this investment provide No

the public with access to a
government automated
information system?
a. If "yes," does customer
access require specific software
(e.g., a specific web browser
version)?
1. If "yes," provide the
specific product name(s) and
version number(s) of the
required software and the date
when the public will be able to
access this investment by any
software (i.e. to ensure
equitable and timely access of
government information and
services).

Exhibit 300: Part II: Planning, Acquisition and Performance

Information

Alternatives Analysis

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.
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.
1. Did you conduct an alternatives analysis for this Yes
project?
a. If "yes," provide the date the analysis was 8/4/2006
completed?
b. If "no," what is the anticipated date this analysis
will be completed?
c. If no analysis is planned, please briefly explain why:

2. Alternative Analysis Results:

Use the results of your alternatives analysis to

 complete the following table:
Send Alternative Description of Risk Risk
to Analyzed Alternative Adjusted Adjusted
OMB Lifecycle Lifecycle
Costs Benefits
estimate estimate
Potential to
consolidate and
streamline FSA
business processes,
require less work for
Financial
Management
Operations and FSA
Combine FMS and
staff, elimination of
FMSS with 11i
redundant entry of
Implementation -
allotments into both
Department would
the FMSS and FMS
consolidate the
systems, reduce
Federal Student Aid
chance of errors and
True (FSA) office's
better funds control
instance of Oracle
and data sharing.
Federal Financials
However, the
(FMS) with FMSS
modernization efforts
and implement a
underway at FSA
single Oracle 11i
requires significant
solution.
oversight and
coordination. The
many resources
needed to manage
several projects
simultaneously would
put all projects at risk
of failure.
True FMLOB Solution - The concept of SSCs
Department would is new to the federal
migrate to a Shared govenment and is
Service Center currently not mature
(SSC) for financial enough to manage
management the complexities of
functions. This would the Department's
include core financial 200+ funds and
 varied business
processes based on
analysis and
discussions with
SSCs. No current SSC
shares the diversity
functions (A/R, A/P, of financial
purchasing, requirements that ED
budgeting, budget maintains. The FMSS
planning and G/L) is tightly integrated
and financial all other EDCAPS
interfaces. systems and FSA's
FMS. This integration
would be difficult to
replicate at a SSC
and maintain the high
financial integrity for
which ED is known.
True Implement 11i w/ This alternative will
tighter integration to allow FSA and OCFO
FMS - FSA sub- the flexibility to
ledger will continue phase-in efforts to
to reside in a modernize and
separate integrate feeder
environment systems, it avoids
performance
contention, provides
the ability to isolate
requirements of
system modernization
efforts, keeps the
interface between
FMS and FMSS
constant and
minimizes risk to all
financial system
implementations e.g.
GAPS Redesign.
However, this
alternative maintains
the dual
implementation of
Oracle Federal
 Financials, one for
FMS and the other for
FMSS.
ED would continue to
use a system that has
performed well during
the past 4 years.
However, the
Department would
not be able to take
Maintain Current
advantage of
Version of FMSS -
improved system
the Department
functionality as
would continue with
requested by ED i.e.
the use of the
funds control, budget
current version of
planning, IPAC
True the FMSS (Oracle
payments, etc. The
v.11.0.3) and not
software vendor will
move forward with
be de-supporting the
the implementation
11.0.3 version of the
of the newest
product within the
version (Oracle v.
next 12 - 18 months
11.5.10).
that will put the
Department at risk of
increased contractor
costs since patches
and bug fixes would
not be provided by
the vendor.

3. Which alternative was selected by the Agency's

Executive/Investment Committee and why was it chosen?
We have chosen Alternative Three, Implement 11i w/ tighter integration
to FMS. This means that while the project will re-implement Oracle 11i,
the OFSA sub-ledger will reside in a separate environment (as it does
today). OFSA's FMS will still operate as a sub-ledger and interface data
to O11ie's 11i system. While not the least expensive, this alternative
provides OFSA and OCFO with the flexibility to phase-in efforts to
modernize and integrate their feeder systems, avoids potential negative
impact to system performance by keeping OFSA detail records in FMS
(and not in the Department's GL), avoids performance contention, as
well as processing contention, and properly positions the Department
for the Financial Management Line of Business (FMLOB) initiative while
still providing benefits such as improved control over and accountability
of Department finances, improved financial management system
controls and practices, improved financial system reporting capabilities,
improvements in system performance and greater ability to respond to
internal and external information inquiries. This alternative also has the
least risk. It reduces the risk of setting up a larger platform than what
would be necessary, mitigates risk by providing the Department the
ability to baseline requirements by isolating them from the major
system modernization efforts being undertaken at OFSA and other
offices (e.g. GAPS Redesign), and minimizes the risk to all Department
financial management implementations. In addition, it reduces other
risks that were identified during the analysis phase, including: full team
participation may be adversely impacted due to other priorities, and the
data converted into the 11i GL may be out of sync between the detailed
ACCS and the higher level balances. Alternative One was determined to
be too risky due to the major financial system modernization efforts
occurring in OFSA (e.g. Common Services for Borrowers) as well as
other offices (e.g. Grants Management System or GAPS Redesign). The
management and oversight needed to coordinate multiple activities
would greatly increase the complexity of and risk to the Oracle 11i
project. Alternative Two is the most risky. Given the late lifecycle stage
that the Ollie project is in, movement to a shared service center
solution would add significant costs and risks to the project. The fourth
alternative is scheduled to be de-supported by the vendor which would
increase risk and cost to the Department.
4. What specific qualitative benefits will be realized?
Qualitative benefits to be realized include improved control over and
accountability of Department finances, improved financial management
system controls and practices, improved financial system reporting
capabilities, improvements in system performance and greater ability to
respond to internal and external information inquiries. This alternative
also has the least risk. It reduces the risk of setting up a larger
platform than what would be necessary, mitigates risk by providing the
Department the ability to baseline requirements by isolating them from
the major system modernization efforts being undertaken at OFSA and
other offices (e.g. GAPS Redesign), and minimizes the risk to all
Department financial management implementations.

Risk Management

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.
1. Does the investment have a Yes
Risk Management Plan?
a. If "yes," what is the date of 7/31/2006
the plan?
b. Has the Risk Management No
Plan been significantly changed
since last year's submission to
OMB?
c. If "yes," describe any significant changes:

2. If there currently is no plan,

will a plan be developed?
a. If "yes," what is the
planned completion date?
b. If "no," what is the strategy for managing the risks?

3. Briefly describe how investment risks are reflected in the life

cycle cost estimate and investment schedule:
During the initial stages of the 11i implemetation project, government
and contractor team members, along with the project's management,
identified risks associated with a project of this magnitude. A majority
of the team members had several years of experience with
implementing major financial management system, including
department-wide systems. All risks identified were vetted by the team
and included a description of the risk, a mitigation strategy for avoiding
the risk, the probability of occurrence, the impact to the project if
realized and its priority level. Throughout the life-cycle of the project
risks have been continuously reviewed and updated as necessary.
When establishing the life cycle cost estimate and schedule the
mitigaton of these risks were factored in to these calculations as
necessary. The cost and schedule take into account the impact of
mitigating all project risks.

Cost and Schedule Performance

1. Does the earned value No

management system meet the
criteria in ANSI/EIA Standard-748?

2. Answer the following questions about current cumulative cost and

schedule performance. The numbers reported below should reflect current
actual information. (Per OMB requirements Cost/Schedule Performance
information should include both Government and Contractor Costs):
a. What is the Planned Value (PV)? 40747.670000
b. What is the Earned Value (EV)? 40791.900000
c. What is the actual cost of work 44928.653000
performed (AC)?
d. What costs are included in the Contractor Only
reported Cost/Schedule Performance
information (Government
Only/Contractor Only/Both)?
e. "As of" date: 12/31/2006
3. What is the calculated Schedule 0.997000
Performance Index (SPI= EV/PV)?
4. What is the schedule variance (SV -148.187000
= EV-PV)?
5. What is the calculated Cost 1.027000
Performance Index (CPI = EV/AC)?
6. What is the cost variance (CV=EV- 1216.127000
AC)?
7. Is the CV% or SV% greater than No
+/- 10%? (CV%= CV/EV x 100;
SV%= SV/PV x 100)
a. If "yes," was it the?
b. If "yes," explain the variance:

c. If "yes," what corrective actions are being taken?

8. Have any significant changes been No

made to the baseline during the past
fiscal year?
8. If "yes," when was it approved by No
OMB?