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

Exhibit 300 (BY2010) for CMS Medicaid Data Systems

PART ONE

OVERVIEW

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

2. Agency:: 009

3. Bureau:: 38

4. Name of this Capital Asset:: CMS Medicaid Data Systems

5. Unique Project Identifier:: 009-38-01-02-01-1060-00

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?: FY2001 or earlier

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 primary purpose of this investment is to establish an accurate, current, and comprehensive database containing standardized enrollment, eligibility, and paid claims of Medicare beneficiaries to be used for the administration of Medicaid at the Federal level, produce statistical reports, support Medicaid related research, and assist in the detection of fraud and abuse in the Medicare and Medicaid programs. Medicaid Data Systems includes the Medicaid Statistical Information System (MSIS), as well as data storage (flat files, data warehouse, and data marts). This investment satisfies the core business function for the information needs of Center for Medicaid and State Operations (CMSO). It is critical for CMS to develop the State Phased-down contribution by States for full dual eligibles entitled to Part D benefits to support CMS' strategic goal of promoting fiscal integrity. Besides being the core information system for CMSO, MSIS supports much of the Medicaid research and analysis performed by the Congressional Budget Office and the Congressional Research Service. MSIS and the accompanying data storage is also a key resource for other Federal agencies and research projects involving Medicaid. The first business driver is the Balanced Budget Act (BBA) of 1997. The BBA requires all States to submit MSIS files containing eligibility and claims utilization information to meet the program needs of CMS and to provide required information for congressional staffs and other Federal agencies and researchers. The second business driver is the Medicare Modernization Act (MMA) of 2003. MMA created a new drug benefit as Part D of Medicare. One of the provisions of MMA was to use MSIS data to develop a per capita payment amount for full dual eligible beneficiaries that each State will pay to CMS on a monthly basis under the State phased-down contribution provision of the MMA. If this investment was not funded, legislative mandates would not be able to be met. This investment also directly supports the PMA initiative of Expanded E-government through electronic data transmission and data sharing. Additionally, it helps achieve the HHS Strategic goal of 'Improve health care quality, safety, cost, and value'. The annual operational analysis indicates this investment continues to provide the expected benefits and fill the gap for which it was designed. It continues to be the most cost-effective solution.

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.: no

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
Budget Performance Integration
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?): Medicaid Data Systems supports the PMA initiative Expanded E-government by providing a comprehensive electronic store of information to Federal and State administrators and medical researchers about standardized Medicaid beneficiary enrollment, eligibility, and paid claims. The collaboration with the States relies on electronic data transmission and data sharing. Budget Performance Integration is supported because the data collected is used to estimate the financial effects of reform proposals

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?: 10003545 - Medicaid

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

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	6.318	5.891	6.446	7.018
Government FTE Cost	0.000	0.100	0.104	0.108
# of FTEs	0	1	1	1

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. Any change from the President's Budget reflects adjustments to the CMS portfolio that 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	2005	S.O. 1.3 - Improve health care quality, safety, cost and value	Customer Results	Accuracy of Service or Product Delivered	Percent of accurate MSIS data reported to CBO and CRS within 2 weeks after all states data have been loaded for a given fiscal year	85%	90%	89%
2	2005	S.O. 1.3 - Improve health care quality, safety, cost and value	Technology	Data Reliability and Quality	Percentage of files with complete data	90%	95%	96%
3	2005	S.O. 1.3 - Improve health care quality, safety, cost and value	Processes and Activities	Innovation and Improvement	Percentage of files included in EL file	0%	100%	100%
4	2005	S.O. 1.3 - Improve health care quality, safety, cost and value	Mission and Business Results	IT Infrastructure Maintenance	Infrastructure availability	95%	97%	98%
5	2006	S.O. 1.3 - Improve health care quality, safety, cost and value	Customer Results	Accuracy of Service or Product Delivered	Percent of accurate MSIS data reported to CBO and CRS within 2 weeks after all states data have been loaded for a given fiscal year	89%	90%	90%
6	2006	S.O. 1.3 - Improve health care quality, safety, cost and value	Technology	External Data Sharing	Percent of files transferred by direct data transfer	0%	25%	25%
7	2006	S.O. 1.1 - Broaden health insurance and long-term care coverage	Processes and Activities	Innovation and Improvement	Percentage of files containing part D data	0%	100%	100%
8	2006	S.O. 1.3 - Improve health care quality, safety, cost and value	Mission and Business Results	IT Infrastructure Maintenance	Infrastructure availability	98%	99%	98%
9	2007	S.O. 1.3 - Improve health care quality, safety, cost and value	Customer Results	Service Availability	Percent of Time System is available for use during normal business hours	98%	99%	99%
10	2007	S.O. 1.3 - Improve health care quality, safety, cost and value	Technology	External Data Sharing	Percent of files transferred by direct data transfer	25%	50%	50%
11	2007	S.O. 1.3 - Improve health care quality, safety, cost and value	Mission and Business Results	Health Care Administration	Percent of claims containing NPI	0%	50%	50%
12	2007	S.O. 1.3 - Improve health care quality, safety, cost and value	Processes and Activities	Timeliness	Time needed to edit and load state submissions	120 days	100 days	110 days
13	2008	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Service Availability	Percent of Time System is available for use during normal business hours	98%	99%	99%
14	2008	Effective Management of Human Capital/Information Technology/Resources	Technology	External Data Sharing	Number of sates participating on direct data transfer to submit eligibility files and claims files	3	5	16
15	2008	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Accuracy of Service or Product Delivered	Percent of accurate MSIS data reported to CBO and CRS within 2 weeks after all states data have been loaded for a given fiscal year	90%	90%	90%
16	2008	Effective Management of Human Capital/Information Technology/Resources	Processes and Activities	Timeliness	Percent of states submitting claims files for a given reporting quarter within 45 days following the end of the quarter	95%	95%	95%
17	2009	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Service Availability	Percent of Time System is available for use during normal business hours	98%	99%	TBD
18	2009	Effective Management of Human Capital/Information Technology/Resources	Technology	External Data Sharing	Number of sates participating on direct data transfer to submit eligibility files and claims files	5	15	TBD
19	2009	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Accuracy of Service or Product Delivered	Percent of accurate MSIS data reported to CBO and CRS within 2 weeks after all states data have been loaded for a given fiscal year	90%	90%	TBD
20	2009	Effective Management of Human Capital/Information Technology/Resources	Processes and Activities	Timeliness	Percent of states submitting claims files for a given reporting quarter within 45 days following the end of the quarter	95%	95%	TBD
21	2010	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Service Availability	Percent of Time System is available for use during normal business hours	99%	99%	TBD
22	2010	Effective Management of Human Capital/Information Technology/Resources	Technology	External Data Sharing	Number of sates participating on direct data transfer to submit eligibility files and claims files	25	35	TBD
23	2010	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Accuracy of Service or Product Delivered	Percent of accurate MSIS data reported to CBO and CRS within 2 weeks after all states data have been loaded for a given fiscal year	90%	90%	TBD
24	2010	Effective Management of Human Capital/Information Technology/Resources	Processes and Activities	Timeliness	Percent of states submitting claims files for a given reporting quarter within 45 days following the end of the quarter	95%	95%	TBD
25	2011	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Service Availability	Percent of Time System is available for use during normal business hours	99%	99%	TBD
26	2011	Effective Management of Human Capital/Information Technology/Resources	Technology	External Data Sharing	Number of sates participating on direct data transfer to submit eligibility files and claims files	35	35	TBD
27	2011	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Accuracy of Service or Product Delivered	Percent of accurate MSIS data reported to CBO and CRS within 2 weeks after all states data have been loaded for a given fiscal year	90%	95%	TBD
28	2011	Effective Management of Human Capital/Information Technology/Resources	Processes and Activities	Timeliness	Percent of states submitting claims files for a given reporting quarter within 45 days following the end of the quarter	95%	95%	TBD
29	2012	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Service Availability	Percent of Time System is available for use during normal business hours	99%	99%	TBD
30	2012	Effective Management of Human Capital/Information Technology/Resources	Technology	External Data Sharing	Number of sates participating on direct data transfer to submit eligibility files and claims files	45	45	TBD
31	2012	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Accuracy of Service or Product Delivered	Percent of accurate MSIS data reported to CBO and CRS within 2 weeks after all states data have been loaded for a given fiscal year	95%	95%	TBD
32	2012	Effective Management of Human Capital/Information Technology/Resources	Processes and Activities	Timeliness	Percent of states submitting claims files for a given reporting quarter within 45 days following the end of the quarter	95%	95%	TBD
33	2013	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Service Availability	Percent of Time System is available for use during normal business hours	99%	99%	TBD
34	2013	Effective Management of Human Capital/Information Technology/Resources	Technology	External Data Sharing	Number of sates participating on direct data transfer to submit eligibility files and claims files	50	50	TBD
35	2013	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Accuracy of Service or Product Delivered	Percent of accurate MSIS data reported to CBO and CRS within 2 weeks after all states data have been loaded for a given fiscal year	95%	95%	TBD
36	2013	Effective Management of Human Capital/Information Technology/Resources	Processes and Activities	Timeliness	Percent of states submitting claims files for a given reporting quarter within 45 days following the end of the quarter	95%	95%	TBD
37	2014	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Service Availability	Percent of Time System is available for use during normal business hours	99%	99%	TBD
38	2014	Effective Management of Human Capital/Information Technology/Resources	Technology	External Data Sharing	Number of sates participating on direct data transfer to submit eligibility files and claims files	50	50	TBD
39	2014	Effective Management of Human Capital/Information Technology/Resources	Customer Results	Accuracy of Service or Product Delivered	Percent of accurate MSIS data reported to CBO and CRS within 2 weeks after all states data have been loaded for a given fiscal year	95%	95%	TBD
40	2014	Effective Management of Human Capital/Information Technology/Resources	Processes and Activities	Timeliness	Percent of states submitting claims files for a given reporting quarter within 45 days following the end of the quarter	95%	95%	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?: no

2.b. If no, please explain why?: New major initiative that is being added to the target architecture and will appear in the next transition plan.

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	MSIS Data Classification Services	Defines the set of capabilities that allow the classification of data.	Data Management	Data Classification			No Reuse	20
2	CMS IT Infrastructure Investment Services	This object represents all of the Services which the CMS IT Infrastructure Investment provides per the OMB 300 submission for it.	Data Management	Data Warehouse	Data Warehouse	009-38-02-00-01-1150-00	Internal	20
3	CMS IT Infrastructure Investment Services	This object represents all of the Services which the CMS IT Infrastructure Investment provides per the OMB 300 submission for it.	Data Management	Data Exchange	Data Exchange	009-38-02-00-01-1150-00	Internal	20
4	MSIS Extraction and TransformationServices	Defines the set of capabilities that support the manipulation and change of data.	Data Management	Extraction and Transformation			No Reuse	30
5	MSIS Program / Project Management Services	Defines the set of capabilities that manage and control a particular effort of an organization.	Management of Processes	Program / Project Management			No Reuse	10

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 Classification	Component Framework	Data Management	Reporting and Analysis	Cognos PowerPlay by: Cognos Incorporated
2	Data Warehouse	Service Access and Delivery	Service Transport	Supporting Network Services	Veritas NetBackup by: Symantec Corporation
3	Data Exchange	Service Platform and Infrastructure	Support Platforms	Wireless / Mobile	Blackberry by: Research in Motion, LTD.
4	Data Exchange	Service Access and Delivery	Delivery Channels	Internet	TCP/IP by: The Internet Engineering Task Force
5	Data Exchange	Service Access and Delivery	Access Channels	Collaboration / Communications	Microsoft Office Outlook by: Microsoft Corporation
6	Extraction and Transformation	Component Framework	Data Interchange	Data Exchange	Cognos PowerPlay by: Cognos Incorporated
7	Program / Project Management	Component Framework	Business Logic	Platform Dependent Technologies	Microsoft Project by: Microsoft Corporation

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?: 2008-05-01

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.: 2008-07-30

What were the results of your operational analysis?: 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. MDS is meeting the defined performance goals for the system. 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.