HHS Home > OCIO Home > Capital Planning & Budget > Exhibit 300

Exhibit 300 (BY2009) for HHS HR LOB IT

PART ONE

OVERVIEW

1. Date of Submission:: 2008-02-04

2. Agency:: 009

3. Bureau:: 00

4. Name of this Capital Asset:: HHS HR LOB IT

5. Unique Project Identifier:: 009-00-01-99-01-1126-24

6. What kind of investment will this be in FY2009?: Planning

7. What was the first budget year this investment was submitted to OMB?: FY2006

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.: As part of the PMA, HHS was selected as 1 of 5 federal HRLOB's. The HRLOB as defined by OPM is "A government-wide, modern, cost effective, standardized, and interoperable HR solution." Solutions identified herein should provide common core functionality and maximize automation of processes to support the strategic management of human capital. Specifically: 1. improve the government wide strategic management of human capital, 2. Achieve or increase operational efficiencies, 3. Achieve or increase cost savings, 4. Improve customer service. HHS HRLOB offers a unique value proposition to potential customers including: a system that accommodates Titles 5, 42, and 38 personnel (specific to the medical community); the benefits of HHS' experience as leaders in the OPM eOPF implementation; HHS' COTS HR system domain knowledge (HHS was the first HRLOB to migrate to current version); and the re-assurance of an efficient/effective project (HHS continues to achieve GREEN status for HCM). To date, HHS has assisted OPM with the Architecture, Concept of Operations, & the FY06 Business Case, participated in the HRLOB BRM V1/V2, Updated the BRM, FEA BRM, Data Reference Model, Technical Reference Model, Performance Reference Model, Service Component Reference Model, validated business processes, Concept of Operations Plan, Developed HRLOB Work Plan, Prepared and submitted the FY07 and FY 08 4 HRLOB BCA's. Currently, the HRLOB is in a planning stage due to the moratorium placed on providers by OPM to include private sector venders to compete with federal providers. The inclusion of private sector has delayed the build and migration phases of the project by 1 year creating the need to rebaseline this investment. HHS projects being able to provide HR services as described by OPM to additional customers in FY08. Currently, HHS has internal customers but must enhance the capacities of existing systems to manage the service requirements of additional customer. The approach for Phase I is to leverage existing technologies (e.g. Capital HR/EHRP investment) with minimal upgrades to meet OPM requirements. The HR LOB operating model moves toward an open architecture environment that is scalable, interoperable and portable. Some of the existing technologies include: Capital HR /EHRP (PeopleSoft v8.9), Time and Attendance system, MyPay, QuickHire, QuickClass, eOPF, EWITS, and LMS. Program risks will be managed and mitigated based on projects of a similar size and complexity.

9. Did the Agency's Executive/Investment Committee approve this request?: yes

9.a. If "yes," what was the date of this approval?: 2005-05-01

10. Did the Project Manager review this Exhibit?: yes

11.a. What is the current FAC-P/PM certification level of the project/program manager?: TBD

12. Has the agency developed and/or promoted cost effective, energy-efficient and environmentally sustainable techniques or practices for this project.: yes

12.a. Will this investment include electronic assets (including computers)?: yes

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

13. Does this investment directly support one of the PMA initiatives?: yes

If yes, select the initiatives that apply:

Initiative Name
Expanded E-Government
Human Capital

13.a. 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?): Human Capital - The solution allows for administration to leverage human capital in strategic planning, measurement, monitoring and evaluation and streamlines HR process, simplifies delivery of services and reduces costs. Expanded Electronic Government - The solution creates an easy-to-find single point of access and standarized systems. Internal HR processes will be standardized and automated to reduce costs and improve efficiency of the workforce.

14. Does this investment support a program assessed using the Program Assessment Rating Tool (PART)?: no

15. Is this investment for information technology?: yes

16. What is the level of the IT Project (per CIO Council's PM Guidance)?: Level 3

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

18. Is this investment identified as high risk on the Q4 - FY 2007 agency high risk report (per OMB memorandum M-05-23)?: yes

19. Is this a financial management system?: no

19.a.2. If no, what does it address?: Human Resources Line of Business

20. What is the percentage breakout for the total FY2009 funding request for the following? (This should total 100%)

Area	Percentage
Hardware	0
Software	9
Services	67
Other	24

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?: no

22. Contact information of individual responsible for privacy related questions.

Name	Suzi Connor
Phone Number	202-260-5528
Title	OS Senior Privacy Official
Email	Suzi.Connor@hhs.gov

23. Are the records produced by this investment appropriately scheduled with the National Archives and Records Administration's approval?: no

24. Does this investment directly support one of the GAO High Risk Areas?: yes

SUMMARY OF SPEND

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. All amounts represent Budget Authority 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.

Cost Type	Py-1 & Earlier -2006	PY 2007	CY 2008	BY 2009
Planning Budgetary Resources	0.000	0.000	0.000	0.000
Acquisition Budgetary Resources	0.000	0.000	0.000	13.040
Maintenance Budgetary Resources	0.000	0.000	0.000	18.530
Government FTE Cost	0.000	0.000	0.000	3.350
# of FTEs	0	0	0	31

2. Will this project require the agency to hire additional FTE's?: yes

2.a. If "yes," how many and in what year?: 31 - FY2009

3. If the summary of spending has changed from the FY2008 President's budget request, briefly explain those changes.: Due to the delay placed on providers by OPM for the purpose of including private sector venders to compete with federal providers. The inclusion of private sector has delayed the build and migration phases of the project by 1 year creating the need to rebaseline this investment. As a result, FY 08 spending has been reduced to account for anticipated delays. Please note that the costs shown in the spending summary table reflect the IT specific cost(s) to the customer agency only and do NOT reflect any HHS funds. Milestones in the cost & schedule table for FY2008 involve only HHS funds and are therefore only schedule milestones since HHS costs are not included in this investment. While total costs have been factored into cost/benefit analysis they have been left out of this Summary of Spending table subject to future HHS ITRB discussions regarding the relationship between this investment and the current HHS HR system.

PERFORMANCE

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.

Row	Fiscal Year	Strategic Goal Supported	Measurement Area	Measurement Grouping	Measurement Indicator	Baseline	Planned Improvement to the Baseline	Actual Results
1	2006	Effective Management of Human Capital/Information Technology/Resources	Mission and Business Results	Human Resources Development	Selected to be a HR SSC	20 Agencies bidding for Service Center LOB	5 to be Selected	5
2	2006	Effective Management of Human Capital/Information Technology/Resources	Customer Results	New Customers and Market Penetration	Conduct Customer/Market Assesment	0	1	1
3	2006	Effective Management of Human Capital/Information Technology/Resources	Processes and Activities	Planning	Complete set of target requirements for SSC:	0	1	1
4	2006	Effective Management of Human Capital/Information Technology/Resources	Technology	Functionality	Complete Business Case and CONOPS	0	1	1
5	2008	Effective Management of Human Capital/Information Technology/Resources	Mission and Business Results	Human Resources Development	Requirements gathering and publication for core requirements functions: Personnel Actions and Compensation and Benefits Mgt.	5	1
6	2008	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Service Efficiency	Consolidation of HRC Process	0% as of 2007	Improve Baseline by 90%	0
7	2008	Effective Management of Human Capital/Information Technology/Resources	Processes and Activities	Policies	Compress the 5 HRC Policies	0% as of 2007	Improve baseline by 90%	0
8	2008	Effective Management of Human Capital/Information Technology/Resources	Technology	Compliance and Deviations	Consolidation of Physical HRCs	5	2	0
9	2009	Effective Management of Human Capital/Information Technology/Resources	Mission and Business Results	HR Strategy	Add new SSC Customer	0	1	0
10	2008	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Customer Impact or Burden	Implementation of Near Term SSC Requirements to new customer	0% as of 2008	Improve basleine by 100%	0
11	2009	Effective Management of Human Capital/Information Technology/Resources	Processes and Activities	Innovation and Improvement	Implementation of New Customer Near term SSC requirements	0 % as 0f 2008	Improve baseline by 75%	0
12	2009	Effective Management of Human Capital/Information Technology/Resources	Technology	Compliance and Deviations	Reduction of Call Center Support personnel	100	80	0
13	2010	Effective Management of Human Capital/Information Technology/Resources	Mission and Business Results	Human Resources Development	Implementation of New Customer	0	1	0
14	2010	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Customer Impact or Burden	Reduce Response Time	TBD	50%	0
15	2010	Effective Management of Human Capital/Information Technology/Resources	Processes and Activities	Innovation and Improvement	Implementation of New Customer Near ternm SSC requirements	75% as of 2009	Improve baseline by 25%	0
16	2010	Effective Management of Human Capital/Information Technology/Resources	Technology	Data Standardization or Tagging	Percent of Processes Converted	0% as of 2009	Improve baseline by 100%	0
17	2011	Effective Management of Human Capital/Information Technology/Resources	Mission and Business Results	Information Management	% of Complete Long term Requirements	0% as of 2010	Improve baseline by 50%	0
18	2011	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Customer Satisfaction	% of Csutomer Issues	0% as of 2010	Improve baseline by 50%	0
19	2011	Effective Management of Human Capital/Information Technology/Resources	Processes and Activities	Innovation and Improvement	% of redundant process	0% as of 2010	Improve baseline by 50%	0
20	2011	Effective Management of Human Capital/Information Technology/Resources	Technology	Availability	% of Uptime & Availability	90% as of 2010	Improve baseline by 99%	0
21	2012	Effective Management of Human Capital/Information Technology/Resources	Mission and Business Results	IT Infrastructure Maintenance	Implementation of Long-term SSC requirements for customer	0% as of 2011	Improve baseline by 50%	0
22	2012	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Customer Satisfaction	% Improvement in Csuotmer Satisifaction	0% as of 2011	Improve baseline by 100%	0
23	2012	Effective Management of Human Capital/Information Technology/Resources	Processes and Activities	Innovation and Improvement	Complete Long-term design document	0	1	0
24	2012	Effective Management of Human Capital/Information Technology/Resources	Technology	IT Contribution to Process, Customer, or Mission	Established SLA for Long-Term requirements	0	1	0
25	2013	Effective Management of Human Capital/Information Technology/Resources	Mission and Business Results	HR Strategy	Implementation of Long-term SSC requirements for customer	50% as of 2012	Improve baseline by 100%	0
26	2013	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Customer Impact or Burden	% Improvement of Customer Calls	TBD	Improve baseline by 100%	0
27	2013	Effective Management of Human Capital/Information Technology/Resources	Processes and Activities	Innovation and Improvement	Improvement Long-term processing flow	TBD	Improve baseline by 50%	0
28	2013	Effective Management of Human Capital/Information Technology/Resources	Technology	IT Contribution to Process, Customer, or Mission	Improve response time	TBD	Improve baseline by 50%	0

Enterprise Architecture

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 target enterprise architecture?: yes

2. Is this investment included in the agency's EA Transition Strategy?: yes

2.a. If yes, provide the investment name as identified in the Transition Strategy provided in the agency's most recent annual EA Assessment.: HHS Human Resources LOB IT

3. Is this investment identified in a completed (contains a target architecture) and approved segment architecture?: no

4. 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/. Component: Use existing SRM Components or identify as NEW. A NEW component is one not already identified as a service component in the FEA SRM. Reused Name and UPI: 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 or External Reuse?: 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. Funding Percentage: 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.

Row	Agency Component Name	Agency Component Description	Service Type	Component	Reused Component Name	Reused UPI	Internal or External Reuse?	Funding %
1	Personnel Administration	Defines the set of capabilities that support the matching between an organization's employees and potential opportunities as well as the modification, addition and general upkeep of an organization's employee-specific information.	Human Resources	Personnel Administration			No Reuse	100

5. 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 Component: 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. Service Specification: 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.

Row	SRM Component	>Service Area	Service Category	Service Standard	Service Specification (i.e., vendor and product name)
1	Personnel Administration	Service Access and Delivery	Access Channels	Web Browser	Microsoft
2	Personnel Administration	Service Access and Delivery	Delivery Channels	Internet	Internet Services
3	Personnel Administration	Service Access and Delivery	Service Transport	Supporting Network Services	HTTP
4	Personnel Administration	Service Platform and Infrastructure	Delivery Servers	Web Servers	HP

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

6.a. If yes, please describe.: This investment leverages: Human Resources Line of Business. multi-OPDIVs and possible multi-Federal Agencies. Is 1 of 5 OMB-designated HR LOBs.

PART TWO

RISK

You should perform a risk assessment during the early planning and initial concept phase of the investment's life-cycle, develop 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.

Answer the following questions to describe how you are managing investment risks.

1. Does the investment have a Risk Management Plan?: yes

1.a. If yes, what is the date of the plan?: 2006-06-05

1.b. Has the Risk Management Plan been significantly changed since last year's submission to OMB?: no

3. Briefly describe how investment risks are reflected in the life cycle cost estimate and investment schedule:: Program risk management is an ongoing part of project management on the HR LOB IT investment. We have a very robust risk management capability in place that requires biweekly meetings with active participation spanning all aspects of the investment. The systems integrator and HHS actively work together to identify, manage and track risks that could adversely impact the program. Costs associated with the risk capability are captured in individual task orders and included in the cost estimated throughout the lifecycle. Due to the complexity of the HR LOB program there are several identified areas of high risk. Schedule and cost risks are continously monitored and mitigated through our established processes. In some cases, scope and/or schedule must be adjusted to avert cost overruns. Risks associated with added functionality to HR LOB IT are assessed and mitigation and/or contingency plans are developed as necessary. Risks relative to government mandates are managed within existing risk management processes.

COST & SCHEDULE

1. Does the earned value management system meet the criteria in ANSI/EIA Standard 748?: yes

2. Is the CV% or SV% greater than ± 10%?: no

3. Has the investment re-baselined during the past fiscal year?: no