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Exhibit 300 (BY2010) - CMS Data Management Operations - Claims

PART ONE

OVERVIEW

1. Date of Submission:: 2008-09-08

2. Agency:: 009

3. Bureau:: 38

4. Name of this Capital Asset:: CMS Data Management Operations - Claims

5. Unique Project Identifier:: 009-38-01-02-01-1160-00

6. What kind of investment will this be in FY2010?: Operations and Maintenance

7. What was the first budget year this investment was submitted to OMB?: FY2007

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.: The investment supports the 2006-2009 CMS Strategic Goals: "Achieving a Transformed and Modernized Health Care System for the 21st Century." The objectives supported are: 1. High Value Health Care by allowing users timely access to CMS data to make informed decisions. 2 Confident Informed Consumers by providing more accurate and quality control of data to provide confident users such as: Hospital Compare/Transparency Data, and 3. Collaborative Partnerships by supporting effective distribution of data/information among all CMS health care partners such as researchers, DOJ, Congress, providers, etc. The following components included in this investment are: 1. The National Claims History (NCH) database is a legacy system comprised of Medicare claims data from 1991 through the present. It houses approximately 1.1 billion claims per year. The National Medicare Utilization Database (NMUD) is a relational database built in DB2 that houses Medicare Part A and B from 1998 through the present. It supports numerous internal and external users that make important decisions with authoritative data sources. 2. The data administration (DA), database administration (DBA), and Business Intelligence (BI) services provide day-today operational support required to manage the Agency's mission critical data environment for mission critical enterprise-wide CMS applications and systems. Data administration is responsible for the governance activities associated with the use of the Agency's data through the data lifecycle-- from capture to archiving. DBA administrators monitor, manage and fine tune the Agency's database environments to assure system performance and data access conforming to objective #1. BI professionals maintain the tools that enable the reporting, sharing, movement and retrieval of the Agency's data by providing guidance and recommendations for efficient use of the Agency's data resources. Transform raw data into information to make operational and strategic decisions. 3. The Data Extract System (DESY) is the primary access tool for the NCH/NMUD and MSIS databases and various files derived from these databases, as well as enrollment data files. During calendar year 2007, DESY processed over 70 billion records for approximately 300 internal and external users including researchers, Congress, DOJ, providers, etc.

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

9.a. If "yes," what was the date of this approval?: 2008-04-10

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?: Waiver Issued

11.b. When was the Program/Project Manager Assigned?: 2008-06-30

11.c. What date did the Program/Project Manager receive the FACP/PM certification? If the certification has not been issued, what is the anticipated date for certification?: 2009-07-31

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)?: no

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

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?): This investment supports the Expanded Electronic Government PMA goal by providing a single means of accessing a wide variety of CMS data for both government-to-go vernment as well as government-to-ci tizen activities. Through the use of DESY, the application tool for accessing data, various customers are able to retrieve a wide variety of data, including eligibility, enrollment, claims, and state Medicaid more efficiently.

14. Does this investment support a program assessed using the Program Assessment Rating Tool (PART)?: yes

14.a. If yes, does this investment address a weakness found during the PART review?: yes

14.b. If yes, what is the name of the PARTed program?: 10001060 - Medicare

14.c. If yes, what rating did the PART receive?: Moderately Effective

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

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

Area	Percentage
Hardware	0
Software	0
Services	100
Other	0

21. If this project produces information dissemination products for the public, are these products published to the Internet in conformance with OMB Memorandum 05-04 and included in your agency inventory, schedules and priorities?: n/a

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

Name	Maribel Franey
Phone Number	410-786-0757
Title	Director, Privacy Compliance
Email	Maribel.Franey@cms.hhs.gov

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

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 -2007	PY 2008	CY 2009	BY 2010
Planning Budgetary Resources	0.000	0.000	0.000	0.000
Acquisition Budgetary Resources	0.000	0.000	0.000	0.000
Maintenance Budgetary Resources	11.848	17.474	20.444	15.525
Government FTE Cost	0.300	0.300	0.312	0.324
# of FTEs	3	3	3	3

2. Will this project require the agency to hire additional FTE's?: no

3. If the summary of spending has changed from the FY2008 President's budget request, briefly explain those changes.: The current funding levels for this investment were developed through the CMS' annual CPIC process. While the President's Budget was used to determine portfolio targets, funding levels for investments are adjusted reflect re-evaluated Agency priorities.

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	2007	Effective Management of Human Capital/Information Technology/Resources	Technology	External Data Sharing	Number of months NCH/Medicare Utilization data released to disease management contractors within 15 days after the end of the month	10	11	11
2	2007	Effective Management of Human Capital/Information Technology/Resources	Processes and Activities	Productivity	Percent of Medicare Utilization data updated monthly in DESY	100%	100%	100%
3	2007	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Delivery Time	Percent of DESY extract requests returned in 1 day for enrollment, 3 days for SAFS, and 1 week for NCH/Medpar.	80%	90%	90%
4	2007	Effective Management of Human Capital/Information Technology/Resources	Mission and Business Results	Information Management	Percent increase in DBA monitoring of 41 contractors managing 668 databases	50%	10%	50%
5	2008	Effective Management of Human Capital/Information Technology/Resources	Technology	Data Reliability and Quality	Percent increase of customers using BI tools to produce reliable, high quality shared reports utilizing up-to-date data/information measured against pre-dertermined requirements	2%	5%	5%
6	2008	Effective Management of Human Capital/Information Technology/Resources	Processes and Activities	Productivity	Increase data refresh rate by updating data files within 3 days of availability	85%	90%	90%
7	2008	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Delivery Time	Percent of satisfying user data requests within 1 day for enrollment, 1 week for SAFs/Medpar, and 2 weeks for NCH	90%	90%	90%
8	2008	Effective Management of Human Capital/Information Technology/Resources	Mission and Business Results	System and Network Monitoring	Percent increase in system performance through DBA real time monitoring of operational databases	10%	10%	10%
9	2009	Effective Management of Human Capital/Information Technology/Resources	Technology	Data Reliability and Quality	Percent increase of customers using BI tools to produce reliable, high quality shared reports utilizing up-to-date data/information measured against pre-dertermined requirements	10%	10%	TBD
10	2009	Effective Management of Human Capital/Information Technology/Resources	Processes and Activities	Productivity	Increase data refresh rate by updating data files within 3 days of availability	85%	90%	TBD
11	2009	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Delivery Time	Percent of satisfying user data requests within 1 day for enrollment, 1 week for SAFs/Medpar, and 2 weeks for NCH	90%	90%	TBD
12	2009	Effective Management of Human Capital/Information Technology/Resources	Mission and Business Results	System and Network Monitoring	Percent increase in system performance through DBA real time monitoring of operational databases	10%	10%	TBD
13	2010	Effective Management of Human Capital/Information Technology/Resources	Technology	Data Reliability and Quality	Percent increase of customers using BI tools to produce reliable, high quality shared reports utilizing up-to-date data/information measured against pre-dertermined requirements	10%	25%	TBD
14	2010	Effective Management of Human Capital/Information Technology/Resources	Processes and Activities	Productivity	Increase data refresh rate by updating data files within 3 days of availability	85%	90%	TBD
15	2010	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Delivery Time	Percent of satisfying user data requests within 1 day for enrollment, 1 week for SAFs/Medpar, and 2 weeks for NCH	90%	90%	TBD
16	2010	Effective Management of Human Capital/Information Technology/Resources	Mission and Business Results	System and Network Monitoring	Percent increase in system performance through DBA real time monitoring of operational databases	10%	10%	TBD
17	2011	Effective Management of Human Capital/Information Technology/Resources	Technology	Data Reliability and Quality	Percent increase of customers using BI tools to produce reliable, high quality shared reports utilizing up-to-date data/information measured against pre-dertermined requirements	25%	25%	TBD
18	2011	Effective Management of Human Capital/Information Technology/Resources	Processes and Activities	Productivity	Increase data refresh rate by updating data files within 3 days of availability	85%	90%	TBD
19	2011	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Delivery Time	Percent of satisfying user data requests within 1 day for enrollment, 1 week for SAFs/Medpar, and 2 weeks for NCH	90%	90%	TBD
20	2011	Effective Management of Human Capital/Information Technology/Resources	Mission and Business Results	System and Network Monitoring	Percent increase in system performance through DBA real time monitoring of operational databases	10%	10%	TBD
21	2012	Effective Management of Human Capital/Information Technology/Resources	Technology	Data Reliability and Quality	Percent increase of customers using BI tools to produce reliable, high quality shared reports utilizing up-to-date data/information measured against pre-dertermined requirements	12%	12%	TBD
22	2012	Effective Management of Human Capital/Information Technology/Resources	Processes and Activities	Productivity	Increase data refresh rate by updating data files within 3 days of availability	85%	90%	TBD
23	2012	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Delivery Time	Percent of satisfying user data requests within 1 day for enrollment, 1 week for SAFs/Medpar, and 2 weeks for NCH	90%	90%	TBD
24	2012	Effective Management of Human Capital/Information Technology/Resources	Mission and Business Results	System and Network Monitoring	Percent increase in system performance through DBA real time monitoring of operational databases	10%	10%	TBD
25	2013	Effective Management of Human Capital/Information Technology/Resources	Technology	Data Reliability and Quality	Percent increase of customers using BI tools to produce reliable, high quality shared reports utilizing up-to-date data/information measured against pre-dertermined requirements	25%	50%	TBD
26	2013	Effective Management of Human Capital/Information Technology/Resources	Processes and Activities	Productivity	Increase data refresh rate by updating data files within 3 days of availability	85%	90%	TBD
27	2013	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Delivery Time	Percent of satisfying user data requests within 1 day for enrollment, 1 week for SAFs/Medpar, and 2 weeks for NCH	90%	90%	TBD
28	2013	Effective Management of Human Capital/Information Technology/Resources	Mission and Business Results	System and Network Monitoring	Percent increase in system performance through DBA real time monitoring of operational databases	10%	10%	TBD
29	2014	Effective Management of Human Capital/Information Technology/Resources	Technology	Data Reliability and Quality	Percent increase of customers using BI tools to produce reliable, high quality shared reports utilizing up-to-date data/information measured against pre-dertermined requirements	50%	55%	TBD
30	2014	Effective Management of Human Capital/Information Technology/Resources	Processes and Activities	Productivity	Increase data refresh rate by updating data files within 3 days of availability	85%	90%	TBD
31	2014	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Delivery Time	Percent of satisfying user data requests within 1 day for enrollment, 1 week for SAFs/Medpar, and 2 weeks for NCH	90%	90%	TBD
32	2014	Effective Management of Human Capital/Information Technology/Resources	Mission and Business Results	System and Network Monitoring	Percent increase in system performance through DBA real time monitoring of operational databases	90%	90%	TBD

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.: CMS Data Management Operations - Claims

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	Internal or External Reuse?	Funding %
1	DESY Data Warehouse Service	Defines the set of capabilities that support the archiving and storage of large volumes of data.	Data Management	Data Warehouse	No Reuse	0
2	EDB Data Recovery Service	Defines the set of capabilities that support the restoration and stabilization of data sets to a consistent, desired state.	Data Management	Data Recovery	No Reuse	0
3	DESY Ad Hoc Reporting Service	Defines the set of capabilities that support the use of dynamic reports on an as needed basis.	Reporting	Ad Hoc	No Reuse	2
4	DESY Meta Data Management Service	Defines the set of capabilities that support the maintenance and administration of data that describes data.	Data Management	Meta Data Management	No Reuse	0
5	NMUD Extraction and Transformation Service	Defines the set of capabilities that support the manipulation and change of data.	Data Management	Extraction and Transformation	No Reuse	17
6	EDB Data Classification Service	Defines the set of capabilities that allow the classification of data.	Data Management	Data Classification	No Reuse	0
7	NMUD Audit Trail Capture and Analysis Service	Audit Trail Capture and Analysis - Support the identification and monitoring of activities within an application, system, or network.	Security Management	Audit Trail Capture and Analysis	No Reuse	0
8	NMUD Standardized / Canned Reporting Service	Defines the set of capabilities that support the use of pre-conceived or pre-written reports.	Reporting	Standardized / Canned	No Reuse	0
9	DESY Data Recovery Service	Defines the set of capabilities that support the restoration and stabilization of data sets to a consistent, desired state.	Data Management	Data Recovery	No Reuse	0
10	NMUD Access Control Service	Access Control - Support the management of permissions for logging onto a computer, application, service, or network; includes user management and role/privilege management	Security Management	Access Control	No Reuse	0
11	DESY Identification and Authentication Service	Defines the set of capabilities that support obtaining information about those parties attempting to log on to a system or application for security purposes and the validation of those users.	Security Management	Identification and Authentication	No Reuse	0
12	DESY System Resource Monitoring Service	Defines the set of capabilities that support the balance and allocation of memory, usage, disk space and performance on computers and their applications.	Systems Management	System Resource Monitoring	No Reuse	0
13	DESY Data Exchange Service	Defines the set of capabilities that support the interchange of information between multiple systems or applications; includes verification that transmitted data was received unaltered.	Data Management	Data Exchange	No Reuse	19
14	DESY Data Cleansing Service	Defines the set of capabilities that support the removal of incorrect or unnecessary characters and data from a data source.	Data Management	Data Cleansing	No Reuse	0

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	Data Warehouse	Service Platform and Infrastructure	Database / Storage	Database	Microsoft SQL Server 2000 by: Microsoft Corporation
2	Data Warehouse	Service Platform and Infrastructure	Database / Storage	Database	Oracle by: Oracle Corporation
3	Data Recovery	Component Framework	Data Management	Reporting and Analysis	IBM DB2 by: International Business Machines Corp.
4	Ad Hoc	Service Access and Delivery	Access Channels	Web Browser	Windows Internet Explorer by: Microsoft Corporation
5	Meta Data Management	Service Interface and Integration	Interoperability	Data Format / Classification	ERwin Data Modeler by: TBD
6	Extraction and Transformation	Component Framework	Data Management	Reporting and Analysis	IBM DB2 by: International Business Machines Corp.
7	Data Classification	Service Platform and Infrastructure	Database / Storage	Storage	IBM DB2 by: International Business Machines Corp.
8	Audit Trail Capture and Analysis	Service Access and Delivery	Service Requirements	Hosting	Time Sharing Option by: International Business Machines Corp.
9	Standardized / Canned	Component Framework	Data Management	Reporting and Analysis	COBOL by: TBD
10	Standardized / Canned	Component Framework	Data Management	Database Connectivity	IBM DB2 by: International Business Machines Corp.
11	Data Recovery	Service Platform and Infrastructure	Software Engineering	Test Management	LoadRunner by: Hewlett-Packard Development Company, L.P.
12	Access Control	Service Platform and Infrastructure	Software Engineering	Software Configuration Management	Resource Access Control Facility by: International Business Machines Corp.
13	Access Control	Component Framework	Security	Supporting Security Services	Resource Access Control Facility by: International Business Machines Corp.
14	Identification and Authentication	Service Platform and Infrastructure	Software Engineering	Integrated Development Environment	Time Sharing Option/Interactive System Productivity Facility by: International Business Machines Corp.
15	System Resource Monitoring	Service Access and Delivery	Delivery Channels	Intranet	Windows Internet Explorer by: Microsoft Corporation
16	Data Exchange	Component Framework	Data Interchange	Data Exchange	Windows Internet Explorer by: Microsoft Corporation
17	Data Cleansing	Service Platform and Infrastructure	Software Engineering	Modeling	ERwin Data Modeler by: TBD

6. Will the application leverage existing components and/or applications across the Government (i.e., FirstGov, Pay.Gov, etc)?: no

PART THREE

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?: 2008-01-01

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

COST & SCHEDULE

1. Was operational analysis conducted?: yes

1.a. If yes, provide the date the analysis was completed.: 2008-06-30

What were the results of your operational analysis?: The operational analysis was complete to validate that the project's principal goals were done in a timely manner and within budget. The analysis involved reviewing all deliverables and stakeholder/customer surveys. This investment continues to perform within the cost and schedule thresholds established by HHS and CMS and is expected to meet projected milestones. The project team regularly meets with customers and stakeholders on developing expectations and will continue to refine metrics parameters, future performance, and quality. This investment continues to provide planned benefits and remains a cost-effective solution.