Exhibit 300 (BY2010) for HRSA - BHPr National Practitioner Data Bank (NPDB)/Healthcare Integrity and Protection Data Bank (HIPDB)

1. Date of Submission:

2009-04-10

2. Agency:

009

3. Bureau:

15

4. Name of this Capital Asset:

HRSA - BHPr National Practitioner Data Bank (NPDB)/Healthcare Integrity and Protection Data Bank (HIPDB)

5. Unique Project Identifier:

009-15-01-02-01-1010-00

6. What kind of investment will this be in FY2010?

Mixed Life Cycle

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

FY2004

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 NPDB was designed to protect public health by providing vital information that restricts the ability of incompetent health care practitioners from moving State to State without discovery of previous substandard performance or unprofessional conduct. The NPDB discloses to eligible entities information on medical malpractice payments, adverse clinical privileges and licensure and other adverse actions taken against physicians and dentists by State licensing authorities, hospitals and professional societies. The HIPDB was designed to reduce healthcare fraud & abuse by collecting and disclosing to authorized entities information on health care related civil judgments and criminal convictions, adverse licensure and certification actions, exclusions from health care programs, and other adjudicated actions taken against health care providers, suppliers and practitioners. Both Data Banks must recover all costs through the collection of user fees. Under the current Firm-Fixed Price and Time and Material (T&M) contract, the NPDB-HIPDB system is continuously enhanced to meet legislative and Government initiatives that reasonably fit the architecture; including expanding the database to include additional data elements and/or add new reports and client categories and functional enhancements. As a result of the small percentage of enhancements, and the vast amount of operations & maintenance that are integrated throughout the current NPDB-HIPDB, this program is considered a mixed life-cycle. Therefore, the NPDB-HIPDB IT investment consists of a combination of Development-Modernization-Enhancement (DME) and steady-state (SS) processes. Agency performance gaps don't exist within the NPDB-HIPDB investment because of applied managed processes and periodic reviews ensure that the NPDB-HIPDB operates on track and within budget. Established performance metrics also help ensure that the contractor is motivated to stay within budget and deliver top results. As a result, system users receive higher performance, greater quality and responsiveness.

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

yes

9.a. If "yes," what was the date of this approval?

2008-07-30

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?

2001-12-01

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

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 directly supports the PMA through the expansion/improvemen t of E-Gov. It enables a more strategic use of government staff and customers; expands electronic benefits to automate work flow; enhances process efficiencies; improves customer service by strongly improving Government performance; and provides access to eligible customers to request and receive information as efficiently as possible from the NPDB-HIPDB.

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?

10003531 - National Practitioner and Health Care Integrity/Protection Data Banks

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 2

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)?

no

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	3
Software	0
Services	64
Other	33

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?

yes

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

Name	Wendy Ponton
Phone Number	301.443.2053
Title	Director Office of Management
Email	wendy.ponton@hrsa.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

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	22.815	3.620	3.632	3.782
Acquisition Budgetary Resources	0.000	0.000	0.000	0.000
Maintenance Budgetary Resources	68.765	11.863	11.436	12.047
Government FTE Cost	15.352	3.800	3.800	3.800
# of FTEs	93	31	31	31

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.

No change.

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	S.O. 1.3 - Improve health care quality, safety, cost and value	Mission and Business Results	Collections and Receivables	Dollar amount of unreconciled query fee deposits	$31,728	Reduce unreconciled deposits to zero	$0.00
2	2006	S.O. 1.3 - Improve health care quality, safety, cost and value	Customer Results	Customer Complaints	Ratio of number of complaints by queriers and reporters to Customer Service Center to number of reports and queries processed.	0.5%	Reduce complaint ratio to 0.25%	0 .00001%
3	2006	S.O. 1.3 - Improve health care quality, safety, cost and value	Processes and Activities	Cycle Time	Time between query and response	4 hours	Less than 2 hours	average time is 55 minutes
4	2006	S.O. 1.3 - Improve health care quality, safety, cost and value	Technology	Availability	Number of hours of non-planned down-time	52 for the year	0	2.1 hours (127 minutes)
5	2007	S.O. 1.3 - Improve health care quality, safety, cost and value	Mission and Business Results	User Fee Collection	Amount of user fees collected	20,457,339	Increase by 3%	22,956,263
6	2007	S.O. 1.3 - Improve health care quality, safety, cost and value	Customer Results	Response Time	Average time for electronic report processing with notification back to user	3.5 hours	2.5 hours	.38 hour
7	2007	S.O. 1.3 - Improve health care quality, safety, cost and value	Processes and Activities	Errors	Percentage of erroneous disclosure information about individuals	between .015% and .01%	less than .005%	.0004%
8	2007	S.O. 1.3 - Improve health care quality, safety, cost and value	Technology	Availability	Percentage of available time of accessible and functioning web site	between 94% and 98%	more than 99%	99.99%
9	2008	S.O. 1.3 - Improve health care quality, safety, cost and value	Mission and Business Results	User Fee Collection	Amount of user fees collected	21,071,059	Increase by 3%	24,552,425
10	2008	S.O. 1.3 - Improve health care quality, safety, cost and value	Customer Results	Response Time	Average time for electronic report processing with notification back to user	2.5 hours	2.0 hours	.31 hour
11	2008	S.O. 1.3 - Improve health care quality, safety, cost and value	Processes and Activities	Errors	Percentage of erroneous disclosure information about individuals	between .015% and .01%	less than .005%	.0003%
12	2008	S.O. 1.3 - Improve health care quality, safety, cost and value	Technology	Availability	Percentage of available time of accessible and functioning web site	between 94% and 98%	more than 99%	99.83
13	2009	S.O. 1.3 - Improve health care quality, safety, cost and value	Mission and Business Results	Health Care Delivery Services	Number of practitioners, providers, and suppliers in the PDS	176,431	352,862	279,454
14	2009	S.O. 1.3 - Improve health care quality, safety, cost and value	Customer Results	Response Time	Average time for electronic report processing with notification back to user	1 hour	maintain 1 hour or less	38 minutes
15	2009	S.O. 1.3 - Improve health care quality, safety, cost and value	Processes and Activities	Errors	Percentage of erroneous disclosure information about individuals	between .015% and .01%	maintain .015% or less	.0004%
16	2009	S.O. 1.3 - Improve health care quality, safety, cost and value	Technology	Availability	Percentage of available time of accessible and functioning web site	between 94% and 98%	maintain 94% or more	100%
17	2010	S.O. 1.3 - Improve health care quality, safety, cost and value	Mission and Business Results	Health Care Delivery Services	Number of practitioners, providers, and suppliers in the PDS	352,862	529,293	TBD
18	2010	S.O. 1.3 - Improve health care quality, safety, cost and value	Customer Results	Response Time	Average time for electronic report processing with notification back to user	1 hour	maintain 1 hour or less	TBD
19	2010	S.O. 1.3 - Improve health care quality, safety, cost and value	Processes and Activities	Errors	Percentage of erroneous disclosure information about individuals	between .015% and .01%	maintain .015% or less	TBD
20	2010	S.O. 1.3 - Improve health care quality, safety, cost and value	Technology	Availability	Percentage of available time of accessible and functioning web site	between 94% and 98%	maintain 94% or more	TBD
21	2011	S.O. 1.3 - Improve health care quality, safety, cost and value	Mission and Business Results	Health Care Delivery Services	Number of practitioners, providers, and suppliers in the PDS	529,293	661,616	TBD
22	2011	S.O. 1.3 - Improve health care quality, safety, cost and value	Customer Results	Response Time	Average time for electronic report processing with notification back to user	1 hour	maintain 1 hour or less	TBD
23	2011	S.O. 1.3 - Improve health care quality, safety, cost and value	Processes and Activities	Errors	Percentage of erroneous disclosure information about individuals	between .015% and .01%	maintain .015% or less	TBD
24	2011	S.O. 1.3 - Improve health care quality, safety, cost and value	Technology	Availability	Percentage of available time of accessible and functioning web site	between 94% and 98%	maintain 94% or more	TBD
25	2012	S.O. 1.3 - Improve health care quality, safety, cost and value	Mission and Business Results	Health Care Delivery Services	Number of practitioners, providers, and suppliers in the PDS	661,616	727,777	TBD
26	2012	S.O. 1.3 - Improve health care quality, safety, cost and value	Customer Results	Response Time	Average time for electronic report processing with notification back to user	1 hour	maintain 1 hour or less	TBD
27	2012	S.O. 1.3 - Improve health care quality, safety, cost and value	Processes and Activities	Errors	Percentage of erroneous disclosure information about individuals	between .015% and .01%	maintain .015% or less	TBD
28	2012	S.O. 1.3 - Improve health care quality, safety, cost and value	Technology	Availability	Percentage of available time of accessible and functioning web site	between 94% and 98%	maintain 94% or more	TBD
29	2013	S.O. 1.3 - Improve health care quality, safety, cost and value	Mission and Business Results	Health Care Delivery Services	Number of practitioners, providers, and suppliers in the PDS	727,777	764,166	TBD
30	2013	S.O. 1.3 - Improve health care quality, safety, cost and value	Customer Results	Response Time	Average time for electronic report processing with notification back to user	1 hour	maintain 1 hour or less	TBD
31	2013	S.O. 1.3 - Improve health care quality, safety, cost and value	Processes and Activities	Errors	Percentage of erroneous disclosure information about individuals	between .015% and .01%	maintain .015% or less	TBD
32	2013	S.O. 1.3 - Improve health care quality, safety, cost and value	Technology	Availability	Percentage of available time of accessible and functioning web site	between 94% and 98%	maintain 94% or more	TBD
33	2014	S.O. 1.3 - Improve health care quality, safety, cost and value	Mission and Business Results	Health Care Delivery Services	Number of practitioners, providers, and suppliers in the PDS	764,176	increase by 2%	TBD
34	2014	S.O. 1.3 - Improve health care quality, safety, cost and value	Customer Results	Response Time	Average time for electronic report processing with notification back to user	1 hour	maintain 1 hour or less	TBD
35	2014	S.O. 1.3 - Improve health care quality, safety, cost and value	Processes and Activities	Errors	Percentaqge of erroneous disclosure information about individuals	between .015% and .01%	maintain .015% or less	TBD
36	2014	S.O. 1.3 - Improve health care quality, safety, cost and value	Technology	Availability	Percentage of available time of accessible and functioning web site	between 94% and 98%	maintain 94% or more	TBD

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.

HRSA National Practitioner Data Bank/Healthcare Integrity Protection DB

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	National Practitioner Data Bank (NPDB) and Healthcare Integrity and Protection Data Bank (HIPDB)	The NPDB and the HIPDB are national data banks containing certain adverse information on health care practitioners (e.g., physicians and dentists), providers, and suppliers.	Reporting	Ad Hoc			No Reuse	5
2	National Practitioner Data Bank (NPDB) and Healthcare Integrity and Protection Data Bank (HIPDB)	The NPDB and the HIPDB are national data banks containing certain adverse information on health care practitioners (e.g., physicians and dentists), providers, and suppliers.	Tracking and Workflow	Process Tracking			No Reuse	4
3	National Practitioner Data Bank (NPDB) and Healthcare Integrity and Protection Data Bank (HIPDB)	The NPDB and the HIPDB are national data banks containing certain adverse information on health care practitioners (e.g., physicians and dentists), providers, and suppliers.	Knowledge Management	Knowledge Capture			No Reuse	5
4	National Practitioner Data Bank (NPDB) and Healthcare Integrity and Protection Data Bank (HIPDB)	The NPDB and the HIPDB are national data banks containing certain adverse information on health care practitioners (e.g., physicians and dentists), providers, and suppliers.	Customer Initiated Assistance	Reservations / Registration			No Reuse	10
5	National Practitioner Data Bank (NPDB) and Healthcare Integrity and Protection Data Bank (HIPDB)	The NPDB and the HIPDB are national data banks containing certain adverse information on health care practitioners (e.g., physicians and dentists), providers, and suppliers.	Knowledge Management	Information Retrieval			No Reuse	2
6	National Practitioner Data Bank (NPDB) and Healthcare Integrity and Protection Data Bank (HIPDB)	The NPDB and the HIPDB are national data banks containing certain adverse information on health care practitioners (e.g., physicians and dentists), providers, and suppliers.	Management of Processes	Program / Project Management			No Reuse	2
7	National Practitioner Data Bank (NPDB) and Healthcare Integrity and Protection Data Bank (HIPDB)	The NPDB and the HIPDB are national data banks containing certain adverse information on health care practitioners (e.g., physicians and dentists), providers, and suppliers.	Search	Query			No Reuse	35
8	National Practitioner Data Bank (NPDB) and Healthcare Integrity and Protection Data Bank (HIPDB)	The NPDB and the HIPDB are national data banks containing certain adverse information on health care practitioners (e.g., physicians and dentists), providers, and suppliers.	Document Management	Library / Storage			No Reuse	1
9	National Practitioner Data Bank (NPDB) and Healthcare Integrity and Protection Data Bank (HIPDB)	The NPDB and the HIPDB are national data banks containing certain adverse information on health care practitioners (e.g., physicians and dentists), providers, and suppliers.	Knowledge Management	Knowledge Distribution and Delivery			No Reuse	10
10	National Practitioner Data Bank (NPDB) and Healthcare Integrity and Protection Data Bank (HIPDB)	The NPDB and the HIPDB are national data banks containing certain adverse information on health care practitioners (e.g., physicians and dentists), providers, and suppliers.	Customer Initiated Assistance	Scheduling			No Reuse	2
11	National Practitioner Data Bank (NPDB) and Healthcare Integrity and Protection Data Bank (HIPDB)	The NPDB and the HIPDB are national data banks containing certain adverse information on health care practitioners (e.g., physicians and dentists), providers, and suppliers.	Customer Initiated Assistance	Self-Service			No Reuse	8
12	National Practitioner Data Bank (NPDB) and Healthcare Integrity and Protection Data Bank (HIPDB)	The NPDB and the HIPDB are national data banks containing certain adverse information on health care practitioners (e.g., physicians and dentists), providers, and suppliers.	Data Management	Data Mart			No Reuse	11
13	National Practitioner Data Bank (NPDB) and Healthcare Integrity and Protection Data Bank (HIPDB)	The NPDB and the HIPDB are national data banks containing certain adverse information on health care practitioners (e.g., physicians and dentists), providers, and suppliers.	Reporting	Standardized / Canned			No Reuse	5

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	Ad Hoc	Component Framework	Data Management	Reporting and Analysis	Business Objects Crystal Reports 11 by: SAP AG
2	Process Tracking	Service Platform and Infrastructure	Software Engineering	Software Configuration Management	CVSNT by: March Hare Pty Ltd
3	Process Tracking	Service Platform and Infrastructure	Software Engineering	Software Configuration Management	PVCS Tracker by: Synergex
4	Knowledge Capture	Component Framework	Business Logic	Platform Dependent Technologies	Java by: Sun Microsystems, Inc.
5	Knowledge Capture	Component Framework	Business Logic	Platform Dependent Technologies	C++ by: IEC
6	Knowledge Capture	Component Framework	Business Logic	Platform Dependent Technologies	The Java Development Kit by: Sun Microsystems, Inc.
7	Reservations / Registration	Component Framework	Business Logic	Platform Dependent Technologies	Java by: Sun Microsystems, Inc.
8	Reservations / Registration	Component Framework	Business Logic	Platform Dependent Technologies	C++ by: IEC
9	Reservations / Registration	Component Framework	Business Logic	Platform Dependent Technologies	The Java Development Kit by: Sun Microsystems, Inc.
10	Information Retrieval	Component Framework	Business Logic	Platform Dependent Technologies	Java by: Sun Microsystems, Inc.
11	Information Retrieval	Component Framework	Business Logic	Platform Dependent Technologies	C++ by: IEC
12	Information Retrieval	Component Framework	Business Logic	Platform Dependent Technologies	The Java Development Kit by: Sun Microsystems, Inc.
13	Program / Project Management	Component Framework	Data Management	Reporting and Analysis	Microsoft Project by: Microsoft Corporation
14	Query	Component Framework	User Presentation / Interface	Content Rendering	Oracle Forms by: Oracle Corporation
15	Query	Component Framework	User Presentation / Interface	Content Rendering	RetrievalWare by: FAST Search & Retrieval
16	Library / Storage	Service Platform and Infrastructure	Database / Storage	Database	Oracle Database 10g Release 2 Enterprise Edition by: Oracle Corporation
17	Knowledge Distribution and Delivery	Component Framework	Business Logic	Platform Dependent Technologies	Java by: Sun Microsystems, Inc.
18	Knowledge Distribution and Delivery	Component Framework	Business Logic	Platform Dependent Technologies	C++ by: IEC
19	Knowledge Distribution and Delivery	Component Framework	Business Logic	Platform Dependent Technologies	The Java Development Kit by: Sun Microsystems, Inc.
20	Scheduling	Component Framework	Business Logic	Platform Dependent Technologies	Microsoft Project by: Microsoft Corporation
21	Self-Service	Service Access and Delivery	Access Channels	Web Browser	Mozilla Firefox by: Mozilla
22	Self-Service	Service Access and Delivery	Access Channels	Web Browser	Windows Internet Explorer 6.0 by: Microsoft Corporation
23	Self-Service	Service Platform and Infrastructure	Software Engineering	Integrated Development Environment	Sun Java Enterprise System Suite by: Sun Microsystems, Inc.
24	Data Mart	Service Platform and Infrastructure	Software Engineering	Integrated Development Environment	Oracle Forms by: Oracle Corporation
25	Standardized / Canned	Component Framework	User Presentation / Interface	Content Rendering	Oracle Forms by: Oracle Corporation
26	Standardized / Canned	Component Framework	Data Management	Reporting and Analysis	Business Objects Crystal Reports 11 by: SAP AG

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.

No

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?

2007-06-30

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:

The NPDB-HIPDB investment receives no appropriations from Congress. The user fees collected are primarily used to operate, maintain, and enhance the NPDB-HIPDB. Previsions in the law allow the Data Banks to upgrade and incorporate new technologies as they occur, or as legislative mandates are imposed on the Data Banks. Therefore, risk, as a result of Life-cycle costs, can indeed increase due to external mandates outside of HHS/HRSA's control during scheduling/enhancement phase. However, the firm-fixed price contract vehicle that is currently in-place strictly controls the costs associated with the system. Contract modifications are reviewed in detail for budgetary purposes and will not be put into place unless the value of the contract modification meets a new system need. Unexpected costs that come from risks associated with the system are discussed and mitigated in the NPDB HIPDB Risk Assessment, NPDB-HIPDB system security plan, and NPDB-HIPDB COOP. During the scheduling phase, release contents are determined. New functionality and System Change Requests (SCRs) for a specific release are selected before release planning begins. At the Configuration Control Board (CCB), the Government and the Contractor assign specific SCRs to the planned release. This phase establishes the overall goals of the release. It is also during this phase that the release schedule is outlined. After this phase, changes may be introduced; however, the overall release goals will remain the same.

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?

yes

3.a. If yes, when was it approved by the agency head?

2008-06-24