Exhibit 300 (BY2010) for NIH OD Electronic Research Administration (eRA)

PART ONE

OVERVIEW

1. Date of Submission:: 2009-03-24

2. Agency:: 009

3. Bureau:: 25

4. Name of this Capital Asset:: NIH OD Electronic Research Administration (eRA)

5. Unique Project Identifier:: 009-25-04-00-01-1326-00

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?: 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 Electronic Research Administration (eRA) is a system supporting life cycle management of extramural research grants for NIH and other agencies. eRA is essential for NIH to meet a vital mission: the support of cutting-edge biomedical research via grants to scientists at universities and other research institutions. In FY 2007 NIH funded nearly $30 billion in such grants. NIH alone receives more than 80,000 grant applications annually and administers more than 59,000 awards. Over 9,000 HHS staff and more than 10,000 research centers and 180,000 external systems users depend on eRA daily, now evolving from a paper-based to an electronic system to handle the growing workload and increased accountability required. Renewed impetus stems from PL106-107 and its mandate to streamline federal financial assistance and expand the use of electronic systems to enhance public access. Supporting 24 NIH Institutes and Centers, as well as 4 other HHS orgs (AHRQ, CDC, FDA, and SAMHSA), eRA provides electronic access to grant applications and awards, progress reports, principal investigator data, and various financial and evaluation reports. Outside scientific reviewers acquire applications and file evaluations online. eRA annually yields millions of dollars in labor, material, and space savings compared to the prior, paper-based systems. Acknowledging eRA's proven record and future potential as a shared service provider for agencies managing health-related discretionary grants programs, OMB recently named eRA an 'acceptable alternative' to the three Grants Management Line-of-Business consortia leads. eRA leadership has implemented major changes in organizational structure and business practice to better address the expectations of its diverse customer and stakeholder base. A mixed life cycle investment, eRA has an ongoing DME component to complete the planned end-to-end processing of extramural research grants and to modernize the grant management system. The existing system embodies older information technology and experiences periodic operating problems. Older architecture inhibits the ability to introduce modifications to address new requirements, customer needs, and technological opportunities. Responding to new Administration policies, Enterprise Architecture mandates, and upgraded grant management business practices is equally challenging.In FY 2010, estimated Fees for Service collected from VHA and USDA (non-HHS agencies) will be $497,760 and $23,634.

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

9.a. If "yes," what was the date of this approval?: 2008-03-18

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?: 2008-02-04

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
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?): eRA is an OMB-approved alternative grants management service provider for NIH, four other HHS OpDivs, VA, and EPA. Accessed by applicants via Grants.gov, eRA significantly expands the scope of e-Government service by allowing applicants, awardees, researchers, grant managers, and peer reviewers to manage the process and oversee grants electronically from submission through closeout. This investment is one of NIH's core strategic capital investments, essential to its extramural research program.

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?: 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

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

Area	Percentage
Hardware	2
Software	0
Services	83
Other	15

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	Karen Pla
Phone Number	301-402-6201
Title	NIH Privacy Act Officer
Email	plak@mail.nih.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?: no

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	37.135	4.172	4.244	4.326
Acquisition Budgetary Resources	128.155	12.256	12.394	12.603
Maintenance Budgetary Resources	136.008	14.328	14.517	14.772
Government FTE Cost	74.667	8.427	8.811	9.066
# of FTEs	642	62	62	62

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.: It is clear that continued operation of the eRA system beyond the original completion date - September 30, 2012 - is required. Our best judgment at this time is that extending this date by 6 years is necessary. We are currently examining, with NIH and HHS, the resource implications. These changes reflect a more realistic view of eRA as a program, not a classical project with a specific end date. The six-year extension would allow us to operate and maintain an aging system and continue to address external mandates and mission-critical business needs. The previous completion date was based upon the expectation that the system would be replaced in 2012, but it is now apparent that a replacement system is not on the horizon. Therefore, plans must be made to continue operations of eRA until FY 2018. This extension reflects an investment that must continue to meet externally imposed mandates as well as mission-critical requirements. During the six-year extension of operations, planning will continue to support new legislative mandates and business requirements and to assess technology options and prospective architectures intended to assure continued system viability and performance quality. We will also have to address progressively increasing operations and maintenance costs to support an aging system confronted with the additional challenges of supporting increased functionality and usage.

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. 4.2 - Increase basic scientific knowledge to improve human health and development	Mission and Business Results	IT Infrastructure Maintenance	% of IT Infrastructure converted	Current architecture is 15% converted to n-tier architecture.	Convert 50% of architecture by the end of FY05 in accordance with eRA Architecture Migration Plan.	Exceeded: The converted code accounts for 60% or more of our established code base, which meets the eRA Architecture Migration plan metric goals for FY05.
2	2005	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Customer Results	New Customers and Market Penetration	% of HHS OPDIVs Integrated into eRA	25% of other HHS OPDIVS using eRA.	75% of eligible OPDIVS using eRA by end of FY2005. Consolidation of DHHS Operational Divisions into the eRA application for administration of research grants.	Met: four of the five eligible OPDIVs (AHRQ,FDA CDC and SAMHSA) are using eRA.
3	2005	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Customer Results	Customer Satisfaction	System Availability %	95 % availability of applications, excluding scheduled downtime.	eRA system logs will show that application availability is at or above the 95% level.	Exceeded: eRA system logs show that system applications were available 99% of the scheduled up time.
4	2005	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Processes and Activities	Cycle Time	# of applicants and grantees doing electronic transactions	145 Federal Demonstration Partnership institutes given access to electronic reporting.	Over 125 grantees submit grant applications and progress reports electronically to reduce cycle time and mailing costs.	Met/Closed FY04- The NIH has received applications from over 240 grantees during the pioneer awards via grants.gov and 20 more through the eCGAP pilot.
5	2005	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Technology	Technology Improvement	# of electronic applications received	327 electronic applications received in FY04.	450 electronic applications received in FY05.	Exceeded: 455 electronic applications received in FY05.
6	2006	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Mission and Business Results	IT Infrastructure Maintenance	% of IT Infrastructure converted	Current architecture is 60% converted to n-tier architecture.	Convert 75% of architecture by the end of FY06 in accordance with eRA Architecture Migration Plan.	Exceeded. All of the client server applications have been converted and the J2EE versions have been deployed, and most of the client server applications have been terminated, but some are still running in parallel with the new J2EE versions.
7	2006	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Customer Results	Customer Satisfaction	System Availability %	95% availability of applications, excluding scheduled downtime.	eRA system logs will show that application availability is at or above the 95% level	Exceeded. eRA system logs show that system availability was above the 95% level.
8	2006	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Processes and Activities	Efficiency	% of business transactions done electronically	15% of business transactions done electronically. Some of the receipt of electronic applications and electronic progress reports have been implemented. Workflow has not been implemented.	40% of business transactions done electronically. Most of the receipt of electronic applications and electronic progress reports and elimination of paper mailers have been implemented. Workflow has been partially implemented.	Met: Most of the receipt of electronic applications and electronic progress reports and elimination of paper mailers have been implemented. Workflow has been partially implemented.
9	2006	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Customer Results	New Customers and Market Penetration	% of HHS OPDIVs Integrated into eRA	75% of other HHS OPDIVS using eRA.	100% of eligible, willing OPDIVS using eRA by end of FY2006.	Met. 100% of eligible, and willing, OPDIVS using eRA by end of FY2006 (AHRQ, CDC, FDA & SAMHSA).
10	2006	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Technology	Data Storage	% business plan completed	0% Business Plan Completed. The paper based file is the official record in most Institutes. The electronic folder displays documents used most frequently in grant processing, but they are less than 50% of the document types used for official file.	100% of a business plan to enhance the electronic grant folder is done. It will elaborate the critical system requirements and address how the system will be expanded to accommodate remaining document types currently held in Institute paper files.	Met: Business Plan Completed
11	2007	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Mission and Business Results	IT Infrastructure Maintenance	% new architecture plan completed	0% new architecture plan completed. Current architecture is inadequate to respond to rapidly changing requirements and new users. A new architecture is needed.	100% of new Architecture plan to develop new eRA Enterprise Business and Data Architectures to meet Grants Line of Business objectives is done.	Deferred: Enterprise Business & Data Architecture planning deferred pending Line-of-Business approval by OMB.
12	2007	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Customer Results	Customer Satisfaction	System Availability %	95% availability of applications, excluding scheduled downtime.	eRA system logs will show that application availability is at or above the 96% level.	Exceeded: 99% availability of applications, excluding scheduled downtime.
13	2007	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Processes and Activities	Efficiency	% of business transactions done electronically	40% of business transactions done electronically. Most of the receipt of electronic applications and electronic progress reports and elimination of paper mailers have been implemented. Workflow has been partially implemented.	55% of business transactions done electronically. Almost all applications & progress reports are being received electronically. Workflow & eRequests have been implemented for more than one business area, and paper mailers have been eliminated.	Exceeded: > 60% of business transactions is electronic. Almost all applications & progress reports are entered into the system electronically. Workflow&eRequests is implemented in 2 business areas. Paper mailers eliminated&accessible via Grants.gov.
14	2007	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Technology	Data Storage	% document types stored electronically	45% of documents stored electronically. The business plan to enhance the electronic grant folder has been implemented.	100% of documents stored electronically. Formulate a plan to have users replace paper folder with electronic grant folder as official file.	Deferred: Change in funding priorities early in FY 2007 necessitated reallocation of funds originally budgeted to address this target.
15	2008	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Mission and Business Results	IT Infrastructure Maintenance	50% new architecture plan completed	0% new architecture plan completed. Current architecture is inadequate to respond to rapidly changing requirements and new users. A new architecture is needed.	100% of new Architecture plan to develop new eRA Enterprise Business and Data Architectures to meet Grants Line of Business objectives is done.	Deferred: GMLOB status as alternative service provider approved, subject to annual review & renewal by OMB. In the absence of long-term approval, Enterprise Business & Data Architecture upgrades are being addressed with Governance incrementally
16	2008	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Customer Results	Customer Satisfaction	System Availability %	96% availability of applications, excluding scheduled downtime.	eRA system logs will show that application availability is at or above the 97% level.	Exceeded: 99% availability of applications, excluding scheduled downtime.
17	2008	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Customer Results	Customer Satisfaction	% of satisfied customers	% of Satisfied Customers is known only by anecdotal information. No formal survey has been conducted.	% of Customer Satisfaction is known. A survey will be planned and conducted to determine user satisfaction and identify areas where improvement is needed.	Met: Customer Satisfaction survey has been conducted. Results have been analyzed to establish baseline measures and identify opportunities for improvement.
18	2008	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Processes and Activities	Efficiency	% of business transactions done electronically	60% of business transactions done electronically. Almost all applications & progress reports are being received electronically. Workflow & eRequests have been implemented for more than one business area, and paper mailers have been eliminated.	75% of business transactions done electronically	Met: 75% of business transactions processed electronically. Processing of additional grant mechanisms and support for multiple Principal Investigators automated to enhance shared funding, accounting, and reporting.
19	2008	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Technology	Data Storage	% document types stored electronically	45% of documents stored electronically. The business plan to enhance the electronic grant folder has been implemented.	100% of documents stored electronically. Formulate a plan to have users replace paper folder with electronic grant folder as official file.	Deferred: Change in funding priorities early in FY 2007 necessitated reallocation of funds originally budgeted to address this target. As of late FY 2008, priority status has not been restored.
20	2009	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Mission and Business Results	IT Infrastructure Maintenance	% of best alternative architecture selection completed	0% of best alternative architecture selection completed.	100% of best alternative architecture selection completed.	TBD
21	2009	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Customer Results	Customer Satisfaction	System Availability %	97% availability of applications, excluding scheduled downtime.	eRA system logs will show that application availability is at or above the 98% level.	TBD
22	2009	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Customer Results	Customer Satisfaction	% increase of satisfied customers	0% increase of satisfied customers. Survey results are available for planning changes and establishing new % satisfaction goal.	% of satisfied customers will increase by 10%	TBD
23	2009	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Processes and Activities	Efficiency	% of business transactions done electronically	75% of business transactions done electronically	80% of business transactions done electronically	TBD
24	2009	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Technology	Data Storage	% of Institutes replacing paper folders	0% of Institutes replacing paper folders. Plan to transition from file room storage in NIH institutes to the adoption of electronic files is in place.	At least 10% of the Institutes replace paper folders with electronic grants folder.	TBD
25	2010	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Mission and Business Results	IT Infrastructure Maintenance	% of selected Architecture implemented, deployed and migrated	0% of selected Architecture implemented, deployed and migrated.	25% of selected Architecture implemented, deployed and migrated.	TBD
26	2010	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Customer Results	Customer Satisfaction	% increase of satisfied customers	% of satisfied customers increased by 10% last year.	% of satisfied customers will increase by 5%	TBD
27	2010	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Processes and Activities	Efficiency	% of business transactions done electronically	80% of business transactions done electronically.	85% of business transactions done electronically	TBD
28	2010	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Technology	Data Storage	% of Institutes replacing paper folders	At least 10% of Institutes replace paper folders with electronic grants folder.	33% of the Institutes now use the electronic grant folder for traditional file room storage of documents and correspondence.	TBD
29	2011	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Mission and Business Results	IT Infrastructure Maintenance	% of selected Architecture implemented, deployed and migrated	25% of selected Architecture implemented, deployed and migrated.	65% of selected Architecture implemented, deployed and migrated.	TBD
30	2011	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Customer Results	Customer Satisfaction	% increase of satisfied customers	% of satisfied customers increased by 5% last year.	% of satisfied customers will increase by 2%	TBD
31	2011	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Processes and Activities	Efficiency	% of business transactions done electronically	85% of business transactions done electronically.	90% of business transactions done electronically	TBD
32	2011	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Technology	Data Storage	% of Institutes replacing paper folders	33% of the Institutes now use the electronic grant folder for traditional file room storage of documents and correspondence.	66% of the Institutes now use the electronic grant folder for traditional file room storage of documents and correspondence.	TBD
33	2012	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Customer Results	Customer Satisfaction	% increase of satisfied customers	% of satisfied customers increased by 2% last year.	% of satisfied customers will increase by 2%	TBD
34	2012	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Processes and Activities	Efficiency	% of business transactions done electronically	90% of business transactions done electronically	95% of business transactions done electronically	TBD
35	2012	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Mission and Business Results	IT Infrastructure Maintenance	% of selected Architecture implemented, deployed and migrated	65% of selected Architecture implemented, deployed and migrated.	100% of selected Architecture implemented, deployed and migrated.	TBD
36	2012	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Technology	Data Storage	% of Institutes replacing paper folders	66% of the Institutes now use the electronic grant folder for traditional file room storage of documents and correspondence.	100% of the Institutes now use the electronic grant folder for traditional file room storage of documents and correspondence.	TBD
37	2013	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Customer Results	Customer Satisfaction	% increase of satisfied customers	% of satisfied customers increased by 2% last year.	% of satisfied customers will increase by 1%	TBD
38	2013	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Processes and Activities	Efficiency	% of business transactions done electronically	95% of business transactions done electronically.	96% of business transactions done electronically	TBD
39	2013	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Mission and Business Results	IT Infrastructure Maintenance	TBD	TBD	TBD	TBD
40	2013	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Technology	Data Storage	TBD	TBD	TBD	TBD
41	2014	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Customer Results	Customer Satisfaction	% increase of satisfied customers	% of satisfied customers increased by 1% last year.	% of satisfied customers will increase by 1%	TBD
42	2014	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Processes and Activities	Efficiency	% of business transactions done electronically	96% of business transactions done electronically.	97% of business transactions done electronically	TBD
43	2014	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Mission and Business Results	IT Infrastructure Maintenance	TBD	TBD	TBD	TBD
44	2014	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Technology	Data Storage	TBD	TBD	TBD	TBD
45	2014	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Customer Results	Customer Satisfaction	FY 2015 - % increase of satisfied customers	% of satisfied customers increased by 1% last year.	% of satisfied customers will increase by 1%	TBD
46	2014	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Processes and Activities	Efficiency	FY 2015 - % of business transactions done electronically	97% of business transactions done electronically.	98% of business transactions done electronically	TBD
47	2014	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Mission and Business Results	IT Infrastructure Maintenance	FY 2015 - TBD	TBD	TBD	TBD
48	2014	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Technology	Data Storage	FY 2015 - TBD	TBD	TBD	TBD
49	2014	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Customer Results	Customer Satisfaction	FY 2016 - % increase of satisfied customers	% of satisfied customers increased by 1% last year.	% of satisfied customers will increase by 1%	TBD
50	2014	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Processes and Activities	Efficiency	FY 2016 - % of business transactions done electronically	98% of business transactions done electronically	99% of business transactions done electronically	TBD
51	2014	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Mission and Business Results	IT Infrastructure Maintenance	FY 2016 - TBD	TBD	TBD	TBD
52	2014	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Technology	Data Storage	FY 2016 - TBD	TBD	TBD	TBD
53	2014	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Customer Results	Customer Satisfaction	FY 2017 - % increase of satisfied customers	% of satisfied customers increased by 1% last year.	% of satisfied customers will increase by 1%	TBD
54	2014	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Processes and Activities	Efficiency	FY 2017 - % of business transactions done electronically	99% of business transactions done electronically	100% of business transactions done electronically	TBD
55	2014	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Mission and Business Results	IT Infrastructure Maintenance	FY 2017 - TBD	TBD	TBD	TBD
56	2014	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Technology	Data Storage	FY 2017 - TBD	TBD	TBD	TBD
57	2014	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Customer Results	Customer Satisfaction	FY 2018 - % increase of satisfied customers	% of satisfied customers increased by 1% last year.	% of satisfied customers will increase by 1%	TBD
58	2014	S.O. 4.1 - Strengthen the pool of qualified health and behavioral science researchers	Processes and Activities	Efficiency	FY 2018 - % of business transactions done electronically	100% of business transactions done electronically	100% of business transactions done electronically maintained	TBD
59	2014	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Mission and Business Results	IT Infrastructure Maintenance	FY 2018 - TBD	TBD	TBD	TBD
60	2014	S.O. 4.2 - Increase basic scientific knowledge to improve human health and development	Technology	Data Storage	FY 2018 - TBD	TBD	TBD	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.: NIH OD Electronic Research Administration (eRA) is one of two designated target systems HHS is relying on to establish grants management services to internal & external agencies as part of the Grants Management Line of Business initiative. Older architecture inhibits the ability to introduce modifications necessary to support this initiative. As part of the EA transition strategy, structural improvements will be developed to accommodate other agency requirements without adversely impac

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	NIH OD Electronic Research Administration (eRA)	The eRA system provides the technology that allows the NIH Office of Extramural Research (OER) to efficiently administer biomedical research grants. It process over 50,000 applications and awards grants totaling 15 - 20 billion dollars each year.	Records Management	Record Linking / Association	No Reuse	4
2	NIH OD Electronic Research Administration (eRA)	The eRA system provides the technology that allows the NIH Office of Extramural Research (OER) to efficiently administer biomedical research grants. It process over 50,000 applications and awards grants totaling 15 - 20 billion dollars each year.	Reporting	Standardized / Canned	No Reuse	4
3	NIH OD Electronic Research Administration (eRA)	The eRA system provides the technology that allows the NIH Office of Extramural Research (OER) to efficiently administer biomedical research grants. It process over 50,000 applications and awards grants totaling 15 - 20 billion dollars each year.	Development and Integration	Software Development	No Reuse	12
4	NIH OD Electronic Research Administration (eRA)	The eRA system provides the technology that allows the NIH Office of Extramural Research (OER) to efficiently administer biomedical research grants. It process over 50,000 applications and awards grants totaling 15 - 20 billion dollars each year.	Data Management	Extraction and Transformation	No Reuse	4
5	NIH OD Electronic Research Administration (eRA)	The eRA system provides the technology that allows the NIH Office of Extramural Research (OER) to efficiently administer biomedical research grants. It process over 50,000 applications and awards grants totaling 15 - 20 billion dollars each year.	Development and Integration	Enterprise Application Integration	No Reuse	4
6	NIH OD Electronic Research Administration (eRA)	The eRA system provides the technology that allows the NIH Office of Extramural Research (OER) to efficiently administer biomedical research grants. It process over 50,000 applications and awards grants totaling 15 - 20 billion dollars each year.	Organizational Management	Network Management	No Reuse	4
7	NIH OD Electronic Research Administration (eRA)	The eRA system provides the technology that allows the NIH Office of Extramural Research (OER) to efficiently administer biomedical research grants. It process over 50,000 applications and awards grants totaling 15 - 20 billion dollars each year.	Reporting	Ad Hoc	No Reuse	4
8	NIH OD Electronic Research Administration (eRA)	The eRA system provides the technology that allows the NIH Office of Extramural Research (OER) to efficiently administer biomedical research grants. It process over 50,000 applications and awards grants totaling 15 - 20 billion dollars each year.	Data Management	Data Mart	No Reuse	4
9	NIH OD Electronic Research Administration (eRA)	The eRA system provides the technology that allows the NIH Office of Extramural Research (OER) to efficiently administer biomedical research grants. It process over 50,000 applications and awards grants totaling 15 - 20 billion dollars each year.	Data Management	Data Warehouse	No Reuse	4
10	NIH OD Electronic Research Administration (eRA)	The eRA system provides the technology that allows the NIH Office of Extramural Research (OER) to efficiently administer biomedical research grants. It process over 50,000 applications and awards grants totaling 15 - 20 billion dollars each year.	Development and Integration	Data Integration	No Reuse	4
11	NIH OD Electronic Research Administration (eRA)	The eRA system provides the technology that allows the NIH Office of Extramural Research (OER) to efficiently administer biomedical research grants. It process over 50,000 applications and awards grants totaling 15 - 20 billion dollars each year.	Business Intelligence	Decision Support and Planning	No Reuse	4
12	NIH OD Electronic Research Administration (eRA)	The eRA system provides the technology that allows the NIH Office of Extramural Research (OER) to efficiently administer biomedical research grants. It process over 50,000 applications and awards grants totaling 15 - 20 billion dollars each year.	Knowledge Management	Knowledge Distribution and Delivery	No Reuse	4
13	NIH OD Electronic Research Administration (eRA)	The eRA system provides the technology that allows the NIH Office of Extramural Research (OER) to efficiently administer biomedical research grants. It process over 50,000 applications and awards grants totaling 15 - 20 billion dollars each year.	Knowledge Management	Information Sharing	No Reuse	4
14	NIH OD Electronic Research Administration (eRA)	The eRA system provides the technology that allows the NIH Office of Extramural Research (OER) to efficiently administer biomedical research grants. It process over 50,000 applications and awards grants totaling 15 - 20 billion dollars each year.	Data Management	Data Classification	No Reuse	4
15	NIH OD Electronic Research Administration (eRA)	The eRA system provides the technology that allows the NIH Office of Extramural Research (OER) to efficiently administer biomedical research grants. It process over 50,000 applications and awards grants totaling 15 - 20 billion dollars each year.	Security Management	Identification and Authentication	No Reuse	4
16	NIH OD Electronic Research Administration (eRA)	The eRA system provides the technology that allows the NIH Office of Extramural Research (OER) to efficiently administer biomedical research grants. It process over 50,000 applications and awards grants totaling 15 - 20 billion dollars each year.	Tracking and Workflow	Process Tracking	No Reuse	4
17	NIH OD Electronic Research Administration (eRA)	The eRA system provides the technology that allows the NIH Office of Extramural Research (OER) to efficiently administer biomedical research grants. It process over 50,000 applications and awards grants totaling 15 - 20 billion dollars each year.	Knowledge Management	Knowledge Capture	No Reuse	4
18	NIH OD Electronic Research Administration (eRA)	The eRA system provides the technology that allows the NIH Office of Extramural Research (OER) to efficiently administer biomedical research grants. It process over 50,000 applications and awards grants totaling 15 - 20 billion dollars each year.	Customer Relationship Management	Partner Relationship Management	No Reuse	4
19	NIH OD Electronic Research Administration (eRA)	The eRA system provides the technology that allows the NIH Office of Extramural Research (OER) to efficiently administer biomedical research grants. It process over 50,000 applications and awards grants totaling 15 - 20 billion dollars each year.	Data Management	Meta Data Management	No Reuse	4
20	NIH OD Electronic Research Administration (eRA)	The eRA system provides the technology that allows the NIH Office of Extramural Research (OER) to efficiently administer biomedical research grants. It process over 50,000 applications and awards grants totaling 15 - 20 billion dollars each year.	Data Management	Data Exchange	No Reuse	4
21	NIH OD Electronic Research Administration (eRA)	The eRA system provides the technology that allows the NIH Office of Extramural Research (OER) to efficiently administer biomedical research grants. It process over 50,000 applications and awards grants totaling 15 - 20 billion dollars each year.	Security Management	Access Control	No Reuse	4
22	NIH OD Electronic Research Administration (eRA)	The eRA system provides the technology that allows the NIH Office of Extramural Research (OER) to efficiently administer biomedical research grants. It process over 50,000 applications and awards grants totaling 15 - 20 billion dollars each year.	Document Management	Library / Storage	No Reuse	4

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	Record Linking / Association	Service Platform and Infrastructure	Database / Storage	Database	Oracle Database 10g Release 2 Enterprise Edition by: Oracle Corporation
2	Standardized / Canned	Component Framework	Data Management	Reporting and Analysis	PL/SQL by: Oracle Corporation
3	Standardized / Canned	Component Framework	User Presentation / Interface	Content Rendering	Adobe Acrobat by: Adobe Systems
4	Software Development	Component Framework	Business Logic	Platform Independent Technologies	Java by: Sun Microsystems, Inc.
5	Software Development	Component Framework	Business Logic	Platform Independent Technologies	The Java Development Kit by: Sun Microsystems, Inc.
6	Software Development	Service Platform and Infrastructure	Software Engineering	Software Configuration Management	Rational ClearQuest by: International Business Machines Corp.
7	Software Development	Component Framework	User Presentation / Interface	Dynamic Server-Side Display	Java Server Pages by: Sun Microsystems, Inc.
8	Software Development	Service Interface and Integration	Integration	Middleware	PL/SQL by: Oracle Corporation
9	Software Development	Service Platform and Infrastructure	Software Engineering	Software Configuration Management	Rational ClearCase by: International Business Machines Corp.
10	Software Development	Service Platform and Infrastructure	Support Platforms	Independent Platform	Java 2 Enterprise Edition by: Sun Microsystems, Inc.
11	Software Development	Service Platform and Infrastructure	Software Engineering	Integrated Development Environment	Oracle Forms by: Oracle Corporation
12	Software Development	Service Platform and Infrastructure	Software Engineering	Test Management	IBM Rational Suite by: International Business Machines Corp.
13	Software Development	Service Platform and Infrastructure	Software Engineering	Modeling	Rational Rose by: International Business Machines Corp.
14	Software Development	Component Framework	Business Logic	Platform Independent Technologies	JavaScript by: Sun Microsystems, Inc.
15	Software Development	Component Framework	User Presentation / Interface	Static Display	Hyper Text Markup Language by: International Organization for Standardization
16	Extraction and Transformation	Component Framework	Data Management	Reporting and Analysis	Oracle Database 10g Release 2 Enterprise Edition by: Oracle Corporation
17	Enterprise Application Integration	Service Interface and Integration	Integration	Enterprise Application Integration	Oracle Enterprise Manager 10g Grid Control by: Oracle Corporation
18	Network Management	Service Platform and Infrastructure	Hardware / Infrastructure	Local Area Network (LAN)	F5 Networks by: F5 Networks Inc
19	Ad Hoc	Component Framework	Data Management	Reporting and Analysis	Oracle Database 10g Release 2 Enterprise Edition by: Oracle Corporation
20	Data Mart	Component Framework	Data Management	Reporting and Analysis	Oracle Database 10g Release 2 Enterprise Edition by: Oracle Corporation
21	Data Warehouse	Component Framework	Data Management	Reporting and Analysis	Oracle Database 10g Release 2 Enterprise Edition by: Oracle Corporation
22	Data Integration	Service Interface and Integration	Integration	Enterprise Application Integration	Oracle Enterprise Manager 10g Grid Control by: Oracle Corporation
23	Decision Support and Planning	Component Framework	Data Management	Reporting and Analysis	Oracle Database 10g Release 2 Enterprise Edition by: Oracle Corporation
24	Knowledge Distribution and Delivery	Service Platform and Infrastructure	Delivery Servers	Application Servers	Oracle Application Server by: Oracle Corporation
25	Knowledge Distribution and Delivery	Component Framework	Data Management	Reporting and Analysis	Collexis Knowledge Management by: Collexis
26	Information Sharing	Component Framework	User Presentation / Interface	Content Rendering	Adobe Acrobat by: Adobe Systems
27	Information Sharing	Service Access and Delivery	Access Channels	Web Browser	Windows Internet Explorer by: Microsoft Corporation
28	Data Classification	Service Interface and Integration	Interoperability	Data Format / Classification	XML Schema by: World Wide Web Consortium
29	Identification and Authentication	Service Access and Delivery	Service Transport	Supporting Network Services	Lightweight Directory Access Protocol by: The Internet Engineering Task Force
30	Identification and Authentication	Component Framework	Security	Certificates / Digital Signatures	Secure Sockets Layer by: Netscape Communications Corporation
31	Process Tracking	Service Interface and Integration	Integration	Enterprise Application Integration	Oracle Enterprise Manager 10g Grid Control by: Oracle Corporation
32	Knowledge Capture	Component Framework	Business Logic	Platform Dependent Technologies	Microsoft Office by: Microsoft Corporation
33	Partner Relationship Management	Service Interface and Integration	Integration	Enterprise Application Integration	Oracle 9i Application Server by: Oracle Corporation
34	Meta Data Management	Component Framework	Data Management	Reporting and Analysis	Oracle Database 10g Release 2 Enterprise Edition by: Oracle Corporation
35	Data Exchange	Service Interface and Integration	Integration	Enterprise Application Integration	Oracle 9i Application Server by: Oracle Corporation
36	Data Exchange	Service Access and Delivery	Service Transport	Service Transport	TCP/IP by: The Internet Engineering Task Force
37	Data Exchange	Service Platform and Infrastructure	Delivery Servers	Application Servers	Oracle Application Server by: Oracle Corporation
38	Access Control	Service Platform and Infrastructure	Delivery Servers	Application Servers	Oracle Application Server by: Oracle Corporation
39	Access Control	Service Platform and Infrastructure	Database / Storage	Database	Oracle Database 10g Release 2 Enterprise Edition by: Oracle Corporation
40	Library / Storage	Service Platform and Infrastructure	Database / Storage	Database	Oracle Database 10g Release 2 Enterprise Edition by: Oracle Corporation

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.: eRA is a full participant in the Grants.gov initiative. Applicants submit their applications through Grants.Gov, and Grants.Gov forwards the NIH applications (and other HHS OPDIV research grant applications) to the eRA for editing and storage in the eRA database. The applications are reviewed and further communication with the applicants are handled by the eRA system and the grants administration staff at NIH and the other HHS OPDIVs.

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?: 2008-03-07

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 life cycle cost estimate & investment schedule are both 'risk adjusted.' Contingencies have been built into cost & schedule estimates to allow program managers the flexibility to address adverse impacts associated with major risks identified (see eRA Risk Management Plan) without the need to rebaseline the program repeatedly. Cost & schedule allowances have been made in the following areas: unknown but predictable new legislative & policy requirements that may require new system capabilities; equipment malfunctions & breakdowns, especially in areas where older hardware is used; the challenge of accurately translating user requirements into a development program which delivers functionality truly responsive to the needs defined; challenges inherent in coordinating requirements from all users, both within and outside NIH (through the Agency Integration project), such as HHS users in CDC and non-NIH users in VA; the cost impact of coordinating with eRA users and governance bodies--these dependencies account for inevitable delays and project implementation changes; planning activities for replacement of eRA when it is no longer cost effective to operate & maintain; impact of incremental deployment of the latest software releases; feedback from system operation and helpdesk experience to better support users and correct operating problems--this feedback has prompted enhancements such as Multiple Active Applications and Grant Folder Expansion. Cost & schedule risk are also managed by careful scope management. Customer involvement is key to this process, and eRA requires customer agreement of scope & software functionality for each iterative software release. These risks are also reflected in the Work Breakdown Structure & investment schedule. Specific milestones reflecting deliverables & new releases have been adjusted for the risks noted above. In each case, additional time has been added into activity plans & the overall schedule. In this way, it is possible to examine to what extent a risk can be mitigated by the re-allocation of funding & contractor staff in order to minimize delays, avoid overruns, and implement possible software design alternatives or work-arounds. Additionally, the eRA project has been approved annually since FY 2001 by OMB and has undergone yearly reviews within the HHS/NIH CPIC process, thus it has been subject to rigorous scrutiny and has been funded incrementally in order to limit risk exposure from one period to the next.

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