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Budget Formulation and Execution Line of Business

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Budget Formulation and Execution Line of Businessof,and,Line

Budget Formulation and Execution Line of Business

    Budget year: FY2008

    Agency: 018

    ; Part I: Summary Information and Justification

    o Section A: Overview

    o Section B: Summary of Spending

    o Section C: Acquisition/Contract Strategy

    o Section D: Performance Information

    o Section E: Security and Privacy

    o Section F: Enterprise Architecture (EA)

    ; Part IV: Planning For "Multi-Agency Collaboration" ONLY

    o Section A: Multi-Agency Collaboration Oversight

    o Section B: Risk Management

    o Section C: Cost and Schedule Performance Exhibit 300: Capital Asset Plan and Business Case Summary Part I: Summary Information And Justification

Section A: Overview

    1. Date of submission: Sep 8, 2008

    2. Agency: 018

    3. Bureau: 18

    4. Name of this Capital Asset: Budget Formulation and Execution Line of Business

5. Unique Project (Investment) Identifier: 018-18-01-01-01-3200-24

    6. What kind of investment will this be in FY2010? Multi-Agency Collaboration

    7. What was the first budget year this investment was submitted to OMB? FY2008

    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: Currently, most agencies do not have automated

    systems to support their budget formulation and execution activities; they depend on basic office software

    to prepare and justify complex, multi-billion dollar budgets. Hundreds of budget exercises are conducted

    annually without the benefit of electronic collaborative technologies. Agency budget personnel spend

    substantial time entering, reconciling, and merging data into textual presentations. Federal budgeting is a

    policy-driven process. The goal of BFELoB is to enable agency and OMB budget personnel to reduce

    manual processes, improve efficiency and effectiveness, and redirect limited resources to a backlog of high

    priority analytical activities without compromising requirements or the flexibility of policy officials. Due

    to significant variability in agency size, activities, organizational complexity, and congressional

    constituencies, solutions based on standardizing business processes and workflows are impractical for

    most budgeting activities. Instead, LoB solutions will enhance Federal budgeting capabilities by: creating

    a community of practice for the Federal budgeting profession, identifying and hosting training and

    education, establishing a venue for sharing best practices, assisting agencies in implementing appropriate

    automation, improving tools for government-wide budget exercises and collaboration, consolidating

    procurements, integrating budget and finance, and establishing standards for data and data exchange.

    Only a portion of LoB solutions, approximately one-third, are IT based. The LoB governance is based on a

    "value proposition" in which a voluntary consortium of agencies under the auspices of the Budget

    Officers Advisory Council contribute funding to the LoB in order to gain the government-wide benefits

    the LoB provides. If the funding collected is insufficient and alternate resources are unavailable, the

    proposed solutions will be deferred or scaled back as determined by the contributing agencies. To date the

    LoB has: established an online Community page for agency collaboration; made available online meeting

    capabilities; made available the first 'fee for service' budget formulation and execution (BFE) system from

    Treasury; developed a Decision Matrix to assist agencies in evaluating the best system for their agencies;

    hosted budget/finance-related training sessions; and coordinated collaboration and integration between

    the Budget and Financial Management communities.

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

    a. If "yes," what was the date of this approval? Jun 18, 2008

    10. Did the Project Manager review this Exhibit? yes

11. Contact information of Program/Project Manager?

    a. What is the current FAC-P/PM (for civilian agencies) or DAWIA (for defense agencies) certification

    level of the program/project manager? Waiver Issued

    12. Has the agency developed and/or promoted cost effective, energy efficient and environmentally sustainable techniques or practices for this project. no

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

    b. Is this investment for new construction or major retrofit of a Federal building or facility? (answer

    applicable to non-IT assets only) no

    1. If "yes," is an ESPC or UESC being used to help fund this investment? [Not answered]

    2. If "yes," will this investment meet sustainable design principles? [Not answered]

    3. If "yes," is it designed to be 30% more energy efficient than relevant code? [Not answered]

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

    Financial Performance

    Budget Performance Integration

    Expanded E-Government

    Human Capital

    a. Briefly and specifically describe for each selected how this asset directly supports the identified

    initiative(s)? BFELoB supports Expanded E-Govt by working for productivity & performance

    gains via automation (example, new fee-for-service and information sharing on the Budget

    Community page). For Human Capital, BFELoB is updating core competencies, developing

    strategies for recruitment/retention, & providing training. For Financial Performance, BFELoB

    collaborates with the FMLoB/FSIO to promote data accuracy & consistency. BFELoB coordinates

    with the PII Council to align automation with goals for BPI.

    14. Does this investment support a program assessed using the Program Assessment Rating Tool (PART)? (For more information about the PART, visit www.whitehouse.gov/omb/part.) no

    a. If "yes," does this investment address a weakness found during a PART review? [Not answered]

    b. If "yes," what is the name of the PARTed program? [Not answered]

    c. If "yes," what rating did the PART receive? [Not answered]

    15. Is this investment for information technology? yes

    For information technology investments only:

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

    17. In addition to the answer in 11(a), what project management qualifications does the Project Manager have? (per

    CIO Council PM Guidance) (2) Project manager qualification is under review for this investment

    18. Is this investment or any project(s) within this investment identified as "high risk" on the Q4-FY 2008 agency

    high risk report (per OMB Memorandum M-05-23)? yes

    19. Is this a financial management system? no

    a. If "yes," does this investment address a FFMIA compliance area? [Not answered]

    1. If "yes," which compliance area: [Not answered]

    2. If "no," what does it address? [Not answered]

    b. If "yes," please identify the system name(s) and system acronym(s) as reported in the most recent

    financial systems inventory update required by Circular A-11 section 52 [Not answered]

    20. What is the percentage breakout for the total FY2010 funding request for the following?

    Hardware 3

    Software 5

    Services 74

    Other 18

    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:

    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

    Section B: Summary of Spending

    1.

    Table 1: SUMMARY OF SPENDING FOR PROJECT PHASES

    (REPORTED IN MILLIONS) (Estimates for BY+1 and beyond are for planning purposes only and do not represent budget decisions)

    PY-1 and PY CY BY BY+1 BY+2 BY+3 BY+4 and Total earlier 2008 2009 2010 2011 2012 2013 beyond

    Planning: 0.74 0.45 0.52 0.44

    Acquisition: 0.78 0.76 1 1.06

    Subtotal Planning & 1.52 1.21 1.52 1.5 Acquisition:

    Operations & 0.41 0.62 0.75 0.82 Maintenance:

    TOTAL: 1.93 1.83 2.27 2.32

    Government FTE Costs 0.38 0.53 0.44 0.46

    Number of FTE 2 4 4 4 represented by Costs:

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

    a. If "yes", How many and in what year? ED currently staffs the BFELoB PMO with 4 staff members.

    OMB/BSB staff also assist with management functions. In addition, many partner agency

    volunteers assist with workgroup leadership and other activities. Additional FTE may be hired in

    FY2010 and beyond.

    3. If the summary of spending has changed from the FY2009 President's budget request, briefly explain those changes: The BFELoB program is an official e-gov Line of Business initiative for which the Department of Education serves as the Managing Partner. Overall, the SoS (including Govt FTE) increased by $1.95M

    from last year's submission. This increase includes a slight increase of .1 in 2009 due to additional O&M, The Govt FTE cost increase reflects increase in staffing numbers to reflect consistent staffing at 4 FTE for the program from 2008 forward. The Govt FTE costs also include inflationary increases. Govt FTE are expected at a steady rate of 4 FTE from 2008 forward. In addition, due to the nature of the LoB, the split

between Planning and Acquisition versus O&M has been adjusted in 2007-2010. It is anticipated that

    BFELoB will be strictly O&M in 2011 and beyond. BFELoB accepts "in-kind" donations for completion

    of BFELoB work products by participating agencies. This type of participation is hard to predict. "In-

    kind" staff donations are included in the 2007 and 2008 costs, but are not in the Govt FTE costs for 2009 and beyond. It is also important to note that the life-cycle costs depicted in the Summary of Spending DO

    NOT include $34.75 million in O&M costs shown for the selected alternative in the Analysis of

    Alternatives section of this Exhibit. These costs are included in each of the alternatives analyzed to estimate the additional costs to agencies from adopting and maintaining BFELoB tools. The BFELoB included these costs in the analysis of alternatives to develop a comprehensive, full-faith estimate of true

    life-cycle costs across the federal government for the BFELoB initiative. However, these costs are excluded from the Summary of Spending because this table represents the BFELoB program budget, as approved

    by member agencies, and therefore only represents those life-cycle costs borne by the program. Total life-

    cycle costs in the Summary of Spending including Government FTEs ($25.295M) less prior year sunk costs of $2.31 million equal $22.98 million in life-cycle costs. This value plus the additional $34.75 million in estimated agency-level O&M costs from future implementation of BFELoB solutions, equals $57.7 million life-cycle costs as shown in the Analysis of Alternatives.

    Section D: Performance Information

    Performance Information Table

    Strategic Fiscal Measurement Measurement Measurement Actual Goal(s) Baseline Target Year Area Grouping Indicator Results Supported

    Cross-Goal Mission and Number of 4 components Strategy on Budget No BFE tools 2007 Business components using BFE 6 Managment: Formulation established Results using BFE tools tools Objective 3

    Cross-goal # of agencies No funding or 15 agencies Customer Customer 2007 Strategy on that contribute service contribute 25 Results Satisfaction Management - funding or contributions funding or

    Objective 3 services services Cross-goal 3,000 Number of No users Strategy on Processes and Knowledge registered 2007 community site registered at 3,600 Management - Activities Management community site registered users inception Objective 3 users

    Number of Cross-goal One agency One agency One agency agencies with Strategy on External Data submits submits submits 2007 Technology electronic Management - Sharing electronically electronically electronically submission to Objective 3 to MAX to MAX to MAX MAX

    Cross-goal Number of major 12 Mission and 6 components 10 components Strategy on Budget agency components 2008 Business using BFE using BFE Management - Formulation components using BFE Results tools tools Objective 3 using BFE tools tools

    Number of Cross-goal 25 agencies 25 agencies 26 agencies agencies that Strategy on Customer Frequency and contribute contribute contribute 2008 contribute Management - Results Depth funding or funding or funding or funding or Objective 3 services services services services

    Cross-goal number of 3,600 4,500 7,400 Strategy on Processes and Knowledge registered 2008 registered registered registered Management - Activities Management community site users users users Objective 3 users

    Number of Cross-goal 1 Agency 1 Agency 1 Agency agencies with Strategy on External Data submits submits submits 2008 Technology electronic Management - Sharing electronically electronically electronically submission to Objective 3 to MAX to MAX to MAX MAX

    Cross-goal Number of major Mission and 12 components 16 components Strategy on Budget agency Available first 2009 Business using BFE using BFE Management - Formulation components quarter FY09 Results tools tools Objective 3 using BFE tools

    Number of Cross-goal 26 agencies 26 agencies agencies Strategy on Customer Frequency and contribute contribute Available first 2009 contributing Management - Results Depth funding or funding or quarter FY09 funding or Objective 3 services services services

    Cross-goal Number of 7,400 8,500 Strategy on Processes and Knowledge registered Available first 2009 registered registered Management - Activities Management community site quarter FY09 users users Objective 3 users

    Number of Cross-goal 1 agency 1 agency agencies with Strategy on External Data submits submits Available first 2009 Technology electronic Management - Sharing electronically electronically quarter FY09 submission to Objective 3 to MAX to MAX MAX

    Cross-goal Mission and Number of 16 components 20 components Strategy on Budget Available first 2010 Business components using BFE using BFE Management - Formulation quarter FY10 Results using BFE tools tools tools Objective 3

    Number of Cross-goal 26 agencies 26 agencies agencies that Strategy on Customer Frequency and contribute contribute Available first 2010 contribute Management - Results Depth funding or funding or quarter FY10 funding or Objective 3 services services services

    Cross-goal Number of 8,500 9,500 Strategy on Processes and Knowledge registered registered registered Available first 2010 Management - Activities Management community site community site community site quarter FY10 Objective 3 users users users

    Number of Cross-goal agencies with 1 agency 10 agencies Strategy on External Data Available first 2010 Technology electronic submits submit Management - Sharing quarter FY10 submission to electronically electronically Objective 3 MAX

Cross-goal Increase in Mission and 20 components 23 components Strategy on Budget number of Available first 2011 Business using BFE using BFE Management: Formulation components quarter FY11 Results tools tools Objective 3 using BFE tools

    Number of Cross-goals 26 agencies 26 agencies agencies that Strategy on Customer Frequency and contribute contribute Available first 2011 contribute Management: Results Depth funding or funding or quarter FY11 funding or Objective 3 services services services

    Cross-goal Number of 9,500 9,500 Strategy on Processes and Knowledge registered registered registered Available first 2011 Management: Activities Management community site community site community site quarter FY11 Objective 3 users users users

    Increase in

    Cross-goal number of 10 agencies 15 agencies Strategy on External Data agencies with submit submit Available first 2011 Technology Management: Sharing electronic electronically electronically quarter FY11 Objective 3 submission to to MAX to MAX

    MAX

    Cross-goal Increase in Mission and 23 components 25 components Strategy on Budget number of Available first 2012 Business using BFE using BFE Management: Formulation components quarter FY12 Results tools tools Objective 3 using BFE tools

    Number of Cross-goal 26 agencies 26 agencies agencies that Strategy on Customer Frequency and that contribute that contribute Available first 2012 contribute Management: Results Depth funding or funding or quarter FY12 funding or Objective 3 services services services

    Cross-goal Number of 9,500 9,500 Strategy on Processes and Knowledge registered registered registered Available first 2012 Management: Activities Management community site community site community site quarter FY12 Objective 3 users users users

    Increase in

    Cross-goal number of 15 agencies 20 agencies Strategy on External Data agencies with submit submit Available first 2012 Technology Management: Sharing electronic electronically electronically quarter FY12 Objective 3 submission to to MAX to MAX

    MAX

    Increase in

    number of 25 components 28 components Cross-goal Mission and components using BFE using BFE Strategy on Budget Available first 2013 Business using BFE approaches, approaches, Management: Formulation quarter FY13 Results approaches, processes and processes and Objective 3 processes and tools tools

    tools

    Number of Cross-goal 26 agencies 26 agencies agencies that Strategy on Customer Frequency and contribute contribute Available first 2013 contribute Management: Results Depth funding or funding or quarter FY13 funding or Objective 3 services services services

    Cross-goal Number of 9,500 9,500 Strategy on Processes and Knowledge registered registered registered Available first 2013 Management: Activities Management community site community site community site quarter FY13 Objective 3 users users users

    Increase in

    Cross-goal number of 20 agencies 25 agencies Strategy on External Data agencies with submit submit Available first 2013 Technology Management: Sharing electronic electronically electronically quarter FY13 Objective 3 submission to to MAX to MAX

    MAX

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