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FAAXX610: Aviation Safety Knowledge Management (ASKME/AVS), incorporates: FAAXX196,
                                FAAXX2...
Exhibit?
11. Contact information of Project Manager?



Phone Number
Email
12. Has the agency developed and/or          Ye...
18. Is this investment identified as "high No
risk" on the Q4 - FY 2006 agency high risk
report (per OMB's "high risk" mem...
PY - 1                                                          BY + 4
                                    PY      CY     ...
a. Explain why:                                     In accordance with FAA's Section 508 Procurement
                     ...
Goal #4:         the cost estimate for the   Magnitude (ROM)    Analysis Team will use an      System
       Organizationa...
systematic approach to
                      managing software
                      projects, reduced oversight
         ...
Strategy 2:     within the                   created Project                                Management
       Control cost...
All new IT investments initiated for FY 2005 and beyond must use Table 2 and are
       required to use the Federal Enterp...
Environment
                                                                                      (ASKME) will
           ...
efforts most
                                                                                         likely to prevent
  ...
Targeting)                        a systemic
                                                     applied to              ...
Environment.
2009    Mission and   Planning and   Workforce       Number of       200 ASIs -       Expand by 100 Results a...
must be answered at the system/application level, not at a program or agency level.
Systems supporting this investment on ...
substantially
                                                                  revised in FY 06.
                        ...
substantially
                                                                                     revised in FY 06.




 ...
mathematical
            analysis of
            probabilistic
            models for
            random
            pheno...
transferred to another agency to pay for the service.

                             4. Technical Reference Model (TRM) Tab...
Service Access and Service              Authentication /   V-Go Single Sign On -
Process Tracking
                    Deli...
a. If "yes," please describe.

6. Does this investment provide the public No
with access to a government automated
informa...
FAAXX610: Aviation Safety Knowledge Management (ASKME/AVS ...
FAAXX610: Aviation Safety Knowledge Management (ASKME/AVS ...
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Transcript of "FAAXX610: Aviation Safety Knowledge Management (ASKME/AVS ..."

  1. 1. FAAXX610: Aviation Safety Knowledge Management (ASKME/AVS), incorporates: FAAXX196, FAAXX264, FAAXX471, FAAXX487 Exhibit 300: Part I: Summary Information and Justification (All Capital Assets) I.A. Overview 1. Date of Submission: 1/9/2007 2. Agency: Department of Transportation 3. Bureau: Federal Aviation Administration 4. Name of this Capital Asset: FAAXX610: Aviation Safety Knowledge Management (ASKME/AVS), incorporates: FAAXX196, FAAXX264, FAAXX471, FAAXX487 5. Unique Project (Investment) Identifier: 021-12-01-14-01-1290-00 (For IT investment only, see section 53. For all other, use agency ID system.) 6. What kind of investment will this be in Planning FY2008? (Please NOTE: Investments moving to O&M ONLY in FY2008, with Planning/Acquisition activities prior to FY2008 should not select O&M. These investments should indicate their current status.) 7. What was the first budget year this FY2008 investment was submitted to OMB? 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 Aircraft Certification Service (AIR) is within the FAA's Office of Aviation Safety. AIR inspectors, engineers, test pilots, and other critical safety staff provide safety regulations, certification standards, and continuous safety oversight for all U.S. civil aviation products, manufacturers, designees, and delegated organizations. The Aviation Safety Knowledge Management Environment (ASKME) program provides AIR's force of aviation safety professionals with a repository of critical safety technical information and data, as well as with a set of knowledge management and analysis tools for knowledge collection, dissemination and analysis. The ASKME suite of tools will include a web-based knowledge management portal, collaboration, predictive safety data analysis, integrated data management and reporting, and AIR business process assistance tools. The complexity of the aviation system is increasing - more aircraft, operated by more new carriers using new and different aircraft types. Full funding and support for the ASKME program is necessary to position AIR to remain responsive to industry growth. ASKME will prevent delays to certification programs, release of new policies and guidance, designee approval or renewal, and response to inquiries. ASKME's automation functions will allow AIR and industry personnel to eliminate time-consuming manual processes to store and retrieve required paper documents. ASKME will establish a single source of information, shared among geographically dispersed organizations, to ensure consistency of policy application, and will prevent us from losing corporate history of past decisions and the associated substantiation of those decisions. ASKME will support and enable: 1. Capturing and accessing safety information. 2. Efficiently and effectively executing AIR business process tasks according to a standardized, quality-managed system (QMS or ISO-9001). 3. Transferring knowledge to increase system safety awareness across the organization. 4. Collaborating among AIR staff across systems and the AIR product life cycle to develop effective decisions that mitigate risk. ASKME Activities: BY08: -Electronic Filing System - planned deployment in FY07 - Evaluation phase. -Design and development efforts for ASKME global components and subfunctions: WTS, MSRD, DTS, ALL, and DS/PP targeted for BY08 funding (Control phase). 9. Did the Agency's Executive/Investment No Committee approve this request? a. If "yes," what was the date of this approval? 10. Did the Project Manager review this Yes
  2. 2. Exhibit? 11. Contact information of Project Manager? Phone Number Email 12. Has the agency developed and/or Yes promoted cost effective, energy efficient and environmentally sustainable techniques or practices for this project. a. Will this investment include electronic Yes assets (including computers)? b. Is this investment for new No construction or major retrofit of a Federal building or facility? (answer applicable to non-IT assets only) 1. If "yes," is an ESPC or UESC being used to help fund this investment? 2. If "yes," will this investment meet sustainable design principles? 3. If "yes," is it designed to be 30% more energy efficient than relevant code? 13. Does this investment support one of No the PMA initiatives? If "yes," check all that apply: 13a. Briefly describe how this asset directly supports the identified initiative(s)? 14. Does this investment support a Yes program assessed using the Program Assessment Rating Tool (PART)? (For more information about the PART, visit www.whitehouse.gov/omb/part.) a. If "yes," does this investment address No a weakness found during the PART review? b. If "yes," what is the name of the AVS Operations Funding PART program assessed by OMB's Program Assessment Rating Tool? c. If "yes," what PART rating did it Effective receive? 15. Is this investment for information Yes technology? If the answer to Question: "Is this investment for information technology?" was "Yes," complete this sub-section. If the answer is "No," do not answer this sub- section. For information technology investments only: 16. What is the level of the IT Project? Level 2 (per CIO Council PM Guidance) 17. What project management (2) Project manager qualification is under review for qualifications does the Project Manager this investment have? (per CIO Council PM Guidance):
  3. 3. 18. Is this investment identified as "high No risk" on the Q4 - FY 2006 agency high risk report (per OMB's "high risk" memo)? 19. Is this a financial management No system? a. If "yes," does this investment address a FFMIA compliance area? 1. If "yes," which compliance area: NA 2. If "no," what does it address? 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 20. What is the percentage breakout for the total FY2008 funding request for the following? (This should total 100%) Hardware 0.000000 Software 80.000000 Services 20.000000 Other 21. If this project produces information Yes 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? 22. Contact information of individual responsible for privacy related questions: Name Phone Number Title E-mail 23. Are the records produced by this Yes investment appropriately scheduled with the National Archives and Records Administration's approval? I.B. Summary of Funding 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. 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)
  4. 4. PY - 1 BY + 4 PY CY BY BY + 1 BY + 2 BY + 3 and and Total 2006 2007 2008 2009 2010 2011 Earlier Beyond Planning Budgetary Resources 1.054 0.277 0 0 0 0 0 0 0 Acquisition Budgetary Resources 0 1.923 4.6 4.1 0 0 0 0 0 Subtotal Planning & Acquisition Budgetary Resources 1.054 2.2 4.6 4.1 0 0 0 0 0 Operations & Maintenance Budgetary Resources 0 0 0.011 0.137 0 0 0 0 0 TOTAL Budgetary Resources 1.054 2.2 4.611 4.237 0 0 0 0 0 Government FTE Costs Budgetary Resources 1.5 0.4 0.764 1.121 0 0 0 0 0 Number of FTE represented 9.9 3.0 5.75 8.0 0 0 0 0 0 by Costs: 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. 2. Will this project require the agency to No hire additional FTE's? a. If "yes," How many and in what year? I.C. Acquisition/Contract Strategy 2. If earned value is not required or will not be a contract requirement for any of the contracts or task orders above, explain why: The ASKME program is utilizing incentive-type contracts to optimize contractor schedule, cost, and technical performance. ASKME plans to have more than 70% of DME contracts performance based. The ASKME program- as required by AMS policy- will use a Program Office EVMS to manage all development, modernization, and enhancement work, including the work assigned to all government employees. The ASKME program will use EVM measurement and reporting for all work performed on all contract types and sizes. When EVM reporting is obtained from a contractor, the contractual required reports include a tailored Contract Performance Report (CPR) in accordance with their respective Data Item Descriptions (DID), specific program risks, and performance measurement metrics/reports. Integrated Program Schedule (IPS) reporting also will be obtained consistent with AMS Earned Value Management policy and will be tailored and customized in accordance with their respective Data Item Descriptions (DID), the specific program risks, and performance measurement metrics/reports. ASKME development, modernization, and enhancement contract awards will all be less than $10M and will be managed using an EVMS following the optional policy guidelines outlined in the FAA AMS. Reporting will be tailored in accordance with their respective DIDs and the specific risks and requirements of the contract. A program-level IBR and a complete EVMS assessment will be performed by the FAA Focal Point to ensure planning is adequate. The Program-level EVMS will follow the guidelines of American National Standard ANSI/EIA-748, and a certification of the program's EVMS will be performed. ASKME is presently in planning phase; it will be Mixed Life Cycle in BY08. At the time of this submission, the ASKME program team is actively working with the FAA EVM focal point to implement ANSI 748 compliant EVM system for the program. The EVM Plan of Action & Milestones was reviewed in December 2006 and updated to account for the planned baseline date in BY07. The primary ASKME support contractor will be required to use an EVM system in accordance with AMS Section 4.16.2. The contractor's EVMS will be certified as meeting the guidelines of ANSI/EIA-748 and the contractor's EVM implementation will be validated by the Contracting Officer, assisted by the EVM Focal Point. ASKME PM NOTE: Table above will be updated for dates and contract dollar amounts based on work during final Investment Analysis. 3. Do the contracts ensure Section 508 Yes compliance?
  5. 5. a. Explain why: In accordance with FAA's Section 508 Procurement Operating Procedures, the ASKME program team has determined that the following Section 508 standards apply to the program: 1194.21, 1194.22, 1194.26, 1194.31, and 1194.41. All procurements will follow the process described in the FAA SOP to ensure 508 compliance for all ASKME-deployed tools and technologies. 4. Is there an acquisition plan which has No been approved in accordance with agency requirements? a. If "yes," what is the date? 9/30/2003 b. If "no," will an acquisition plan be Yes developed? 1. If "no," briefly explain why: An acquisition plan has been prepared and is pending approval as part of the JRC final investment decision process. ASKME is in the final stages of the FAA Acquisition Management System final investment decision process. .It is expected to obtain an FAA final baseline approval in FY07. The acquisition plan is one of the requirements for FAA AMS final investment decision approval. I.D. Performance Information 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 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 or qualitative measure. Agencies must use Table 1 below for reporting performance goals and measures for all non-IT investments and for existing IT investments that were initiated prior to FY 2005. The table can be extended to include measures for years beyond FY 2006. Performance Information Table 1: Fiscal Strategic Performance Measure Actual/baseline Planned Performance Performance Year Goal(s) (from Previous Metric (Target) Metric Results Supported Year) (Actual) 2003 FAA Flight Plan Metric is the number of AIR No training Train AIR Project Managers 100% of AIR Goal #4: Project Managers trained provided to AIR on SDLC Standards Project Managers Organizational on SDLC Standards Project Managers implementation techniques. attended FAA Excellence, implementation. on the newly In the years following, SDLC Standards Strategy 2: created SDLC these SDLCs will be applied training in May Control costs Standards. to software projects to 2003. while improve product delivery delivering within the quality cost/schedule/performance customer baseline. service. 2003 FAA Flight Plan Metric is the accuracy of Rough Order of The ASKME Investment The Analogous
  6. 6. Goal #4: the cost estimate for the Magnitude (ROM) Analysis Team will use an System Organizational chosen cost methodology. cost estimate Analogous System methodology Excellence, generated during methodology to update the considered Strategy 2: Develop a more accurate the Mission Need cost estimate along with actual historic Control costs cost estimate during the Phase. input from Subject Matter developmental while Initial Investment Analysis Experts. This will provide a costs for delivering Phase in preparation for higher level of confidence software quality JRC-2a. that the program can be systems similar customer executed within budget. to ASKME. service. 2003 FAA Flight Plan Metric is the number of Causal factors not Causal factors determined The ASKME Goal #1: causal factors related to determined. No by ASKME Investment Investment Increased regulation, certification, reduction of Analysis team. Analysis Team Safety, and continued operational certification identified a list Strategy 2: safety. related accidents. of causal factors Expand FAA- relevant to industry Determine a method to regulation, partnerships identify regulation, certification, and and data- certification, and continued continued driven safety operational safety related operational programs that precursor events leading to safety. Note: prioritize and an aviation accident. Realization of address risks actual safety before they This will contribute to benefits will not lead to improving safety by occur until FY11. accidents. providing a method to measure the reduction of accidents resulting from the implementation of ASKME. 2003 FAA Flight Plan Metric is the number of No software Establish governance for Standards Board Goal #4: SDLC Standards developed. application standards. Adopt standards was established Organizational Develop Software development for SDLC. in Jan. 2003 to Excellence, Development Lifecycle standards exist act as the Strategy 2: (SDLC) Standards to within AIR. authoritative Control costs ensure customer body overseeing while satisfaction while improving development of delivering delivery of software the SDLC quality applications within Standards. customer baselined cost, schedule, Development of service. and performance criteria. the SDLC In the years following, Standards was these SDLCs will be applied completed. SDLC to software projects to standards were improve product delivery developed and within the approved by the cost/schedule/performance AIR IT Steering baseline. Group. 2004 FAA Flight Plan Develop Business IT No standards Metric is the number of The IT Steering Goal #4: Investment Management exist to assess, Business IT Investment Group was Organizational Standards and Processes to monitor, and Management Standards identified as the Excellence, ensure customer measure IT developed. authoritative Strategy 2: satisfaction while improving investment's oversight body Control costs delivery of software customer in Apr. 2004. while applications within satisfaction. Development of delivering baselined the Business IT quality cost/schedule/performance Investment customer criteria. The Business IT Management service. Investment Management Standards was Standards and Processes completed. will be applied to software projects to improve product delivery within the cost/schedule/performance baseline. Result: a
  7. 7. systematic approach to managing software projects, reduced oversight costs, and quality customer service. 2004 FAA Flight Plan Develop Project No standards Metric is the number of The IT Steering Goal #4: Management Standards exist to assess, Project Management Group was Organizational and Processes to ensure monitor, and Standards developed. identified as the Excellence, customer satisfaction while measure IT authoritative Strategy 2: improving delivery of investment's oversight body Control costs software applications within customer in Apr. 2004. while baselined satisfaction. Development of delivering cost/schedule/performance the Project quality criteria. The PM Standards Management customer and Processes will be Standards was service. applied to software projects completed. to improve product delivery within the cost/schedule/performance baseline. Result is a more systematic approach to managing software projects resulting in reduced oversight costs while delivering quality customer service. 2004 FAA Flight Plan Develop a more accurate JRC-2a cost Metric is the accuracy of The accuracy of Goal #4: cost estimate during the estimate the cost estimate for the the cost was Organizational Final Investment Analysis generated during chosen cost methodology improved Excellence, Phase in preparation for the Initial The ASKME Investment through the use Strategy 2: JRC-2b. This will provide a Investment Analysis Team will use a of a Function Control costs higher level of confidence Analysis Phase. more accurate and refined Point Analysis while that the program can be industry accepted Function methodology delivering executed within budget, Point Analysis method of using the cost quality resulting in reduced updating the software cost estimation tool customer development costs while estimate. Cost Xpert. The service. delivering quality customer results will be service. presented to the JRC in 4th Quarter FY2005. 2005 FAA Flight Plan Applying the Business IT No training Metric is the number of AIR AIR will train Goal #4: Investment Management provided to AIR Project Managers trained 100% of its Organizational Standards to software Project Managers on Business IT Investment Project Managers Excellence, projects will improve on the newly Management Standards on Business IT Strategy 2: product delivery within the created Business implementation. Investment Control costs cost/schedule/performance IT Investment Management while baseline by providing a Management Standards delivering more systematic approach Standards. implementation quality to software development, by 30 Sept customer resulting in reduced 2005. service. development costs while delivering quality customer service. Applying these standards will provide a more systematic approach to software development resulting in reduced development costs while delivering quality customer service. 2005 FAA Flight Plan Applying the Project No training Metric is the number of AIR AIR will train Goal #4: Management Standards to provided to AIR Project Managers trained 100% of its Organizational software projects will Project Managers on Project Management Project Managers Excellence, improve product delivery on the newly Standards implementation. on Project
  8. 8. Strategy 2: within the created Project Management Control costs cost/schedule/performance Management Standards while baseline by providing a Standards. implementation delivering more systematic approach by 30 Sept quality to S/W development, 2005. customer resulting in reduced costs service. while delivering quality customer service. In years following, these PM Standards will be applied to software projects to improve product delivery within the cost/sched/perf baseline. 2005 FAA Flight Plan Increase the number of 60% of ASAS Metric is the number of AIR The 15% Goal #4: ASAS systems performing systems being software systems that are increase in the Organizational within cost and schedule subsumed by compliant to Business IT number of AIR Excellence, baselines by 15%. Applying ASKME are within Investment Management, software Strategy 2: the Business IT Investment cost and schedule Project Management, and systems that are Control costs Management, Project baselines. SDLC Standards. The goal compliant with while Management, and SDLC of FY05 is to ensure an the new delivering Standards to software additional 15% of AIR standards will be quality projects will improve software systems are achieved by 30 customer product delivery within the compliant. Sept 2005. service. cost/schedule/performance baseline by providing a more systematic approach to software development, resulting in reduced development costs while delivering quality customer service. 2005 FAA Flight Plan Identify an AIR Customer No formal Metric will be to measure Results are Goal #4: Satisfaction Team and methods exist for the level of Customer expected to be Organizational develop a Customer measuring Satisfaction within AIR. The achieved by 30 Excellence, Satisfaction Survey that customer AIR Customer Satisfaction Sept 2005. Strategy 3: can be used to measure satisfaction. Team will meet in the 1st Make decisions customer satisfaction. In Quarter FY2005 to develop based on 2006, the initial survey will the customer satisfaction reliable data to establish the baseline survey. The initial survey improve our Customer Satisfaction will be issued in 2006. overall levels. This performance performance improvement goal is and customer necessary to meet the satisfaction. future planned performance improvement goals that are identified under the Customer Satisfaction measurement indicator in Table 2 below. 2005 FAA Flight Plan Validate the ASKME Function Point Metric: Accuracy of the cost Evaluation of the Goal #4: Integrated Product Team's Analysis based estimate for the chosen Request for Organizational cost estimate for the cost estimate cost methodology. The Proposal will be Excellence, software development generated during ASKME IPT will issue a RFP completed by 30 Strategy 2: efforts of the 1st ASKME the Final to industry to solicit Sept 2005. Control costs application of Useful Investment proposals for development while Segment 2. Analysis Phase. of the ASKME Electronic delivering File System. The proposals quality This will provide a higher will be compared with the customer level of confidence that the IPT's Cost estimate. service. program can be executed within budget, resulting in reduced development costs while delivering quality customer service.
  9. 9. All new IT investments initiated for FY 2005 and beyond must use Table 2 and are required to use the Federal Enterprise Architecture (FEA) Performance Reference Model (PRM). Please use Table 2 and the PRM to identify the performance information pertaining to this major IT investment. 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 at least four different Measurement Areas (for each fiscal year). The PRM is available at www.egov.gov. Performance Information Table 2: Fiscal Measurement Measurement Measurement Measurement Baseline Planned Actual Results Year Area Category Grouping Indicator Improvement to the Baseline 2006 Customer Service Integration Percent of total Zero of 44 For FY06 - Documented AIR Results Accessibility AIR business (AIR QMS) performance business processes processes requirement processes in AVS (based on AVS integrated. was to Quality Quality Mgmt document AIR Management System business System. documented processes and Processes have processes) formalize into a been integrated into Quality documented and AVS enterprise Management validated via ISO architecture System. Future 9000 and Aviation FY metrics are registration, Safety to increase August 18, Knowledge percentage of 2006. Mgmt AIR business Environment. processes fully leveraging ASKME tools and technologies. 2006 Mission and Planning and Workforce Number of Currently 200 For FY06, AIR AIR defined Business Resource Planning ASIs, ASEs, ASIs have a will formalize a RBRT for one Results Allocation and Designees portion of systemic process (Cert having RBRT their work approach to risk Mgmt - (Risk Based planned based resource Manufacturing) Resource through the targeting that Requirements Targeting) application of can be applied gathered and applied to risk factors to to all facets of validated for ASE determine their determine the AIRs safety implementation planned work. best use of workforce and of RBRT and the AIR's limited leveraged automation resources. through needs. ASKME will implementation provide tools of ASKME tools and and technologies technologies. to enable expansion of RBRT for all ASI, ASE activities. 2006 Processes and Cycle Time and Cycle Time Metric is 12-18 Months Reduce number No change for Activities Resource Time number of cycle time. of months for FY06 - Metric months to training established develop, development based on prototype, and cycle. Aviation planned tools & deploy training Safety technologies to for AIR safety Knowledge be provided by employees. Mgmt ASKME.
  10. 10. Environment (ASKME) will provide tools and technologies to reduce training development time, enable prototyping, and reduce overall time to deploy training. 2006 Technology Efficiency Accessibility Number of Currently the Tools and FY06 Baseline Safety AIR technologies established for Document Regulatory implemented in this metric with types Guidance the Aviation RGL. EFS global electronically Library Safety component available in the provides Knowledge prototype tested AIR Knowledge access to 14 Mgmt and accepted by Mgmt safety Environment AIR user group. Environment. document (ASKME) will types - FAR, expand the SFAR,NPRMs, number of Final Rules, safety Make/Model document types Info, TC Data readily available sheets, STCs, to FAA safety ADs, ACs, employees, Orders & designees, and Notices, industry. TSOs, Speci Conditions, Exemptions, Equiv Levels of Safety 2007 Customer Service Integration Percent of total Zero of 44 Increase Results expected Results Accessibility AIR business (AIR QMS) percentage, 3d qtr of FY07 processes processes from zero to (based on AVS integrated. 10%, of AIR Quality Mgmt business System processes fully documented leveraging processes) ASKME tools integrated into and AVS enterprise technologies. architecture and Aviation Safety Knowledge Mgmt Environment. 2007 Mission and Planning and Workforce Number of 200 ASIs - Expand by 100 Results are Business Resource Planning ASIs, ASEs, partial use of the number of expected in 4th Results Allocation and Designees RBRT via ASIs, ASEs, and quarter of FY07 having RBRT automated designees (Risk Based tools and whose work is Resource technologies managed using Targeting) a systemic applied to approach to risk determine their based resource planned work. targeting (RBRT) in order to focus limited safety oversight resources on
  11. 11. efforts most likely to prevent aviation accidents. 2007 Processes and Cycle Time and Cycle Time Metric is 12-18 Months Reduce number Results expected Activities Resource Time number of cycle time. of months for by end of FY07. months to training develop, development prototype, and cycle to 10-14 deploy training months. ASKME for AIR safety will provide employees. tools and technologies to reduce training development time, enable prototyping, and reduce overall time to deploy training. 2007 Technology Efficiency Accessibility Number of AIR Add Results expected Safety Regulatory accessibility for 3d qtr of FY07 Document Guidance 2 safety doc (SAIBs) and 4th types Library - see types. Tools qtr of FY07 electronically FY2006. and (deploy EFS) available in the technologies AIR Knowledge implemented in Mgmt the Aviation Environment. Safety Knowledge Mgmt Environment (ASKME) will expand the number of safety document types readily available to FAA safety employees, designees, and industry. 2008 Customer Service Integration Percent of total 10% of AIR Increase Results expected Results Accessibility AIR business processes percentage to 3d qtr of FY08 processes integrated 20% of AIR (based on AVS into EA business Quality Mgmt processes fully System leveraging documented ASKME tools processes) and integrated into technologies. AVS enterprise architecture and Aviation Safety Knowledge Mgmt Environment. 2008 Mission and Planning and Workforce Number of 200 ASIs - Expand by 100 Results are Business Resource Planning ASIs, ASEs, partial use of the number of expected in 4th Results Allocation and Designees RBRT via ASIs, ASEs, and quarter of FY08 having RBRT automated designees (Risk Based tools and whose work is Resource technologies managed using
  12. 12. Targeting) a systemic applied to approach to risk determine their based resource planned work. targeting (RBRT) in order to focus limited safety oversight resources on efforts most likely to prevent aviation accidents. 2008 Processes and Cycle Time and Cycle Time Metric is 10-14 months Reduce number Results expected Activities Resource Time number of cycle time. of months for by end of FY08. months to training develop, development prototype, and cycle to 8-12 deploy training months. ASKME for AIR safety will provide employees. tools and technologies to reduce training development time, enable prototyping, and reduce overall time to deploy training. 2008 Technology Efficiency Accessibility Number of AIR Add Results expected Safety Regulatory accessibility for in 3d qtr FY08 Document Guidance 2 safety doc (Leverage types Library plus types. Tools ASKME EFS) electronically doc types and available in the added in technologies AIR Knowledge FY07. implemented in Mgmt the Aviation Environment. Safety Knowledge Mgmt Environment (ASKME) will expand the number of safety document types readily available to FAA safety employees, designees, and industry. 2009 Customer Service Integration Percent of total 20% of AIR Increase Results expected Results Accessibility AIR business processes percentage to 3d qtr of FY09 processes integrated 35% of AIR (based on AVS into EA business Quality Mgmt processes fully System leveraging documented ASKME tools processes) and integrated into technologies. AVS enterprise architecture and Aviation Safety Knowledge Mgmt
  13. 13. Environment. 2009 Mission and Planning and Workforce Number of 200 ASIs - Expand by 100 Results are Business Resource Planning ASIs, ASEs, partial use of the number of expected in 4th Results Allocation and Designees RBRT via ASIs, ASEs, and quarter of FY09 having RBRT automated designees (Risk Based tools and whose work is Resource technologies managed using Targeting) a systemic applied to approach to risk determine their based resource planned work. targeting (RBRT) in order to focus limited safety oversight resources on efforts most likely to prevent aviation accidents. 2009 Processes and Cycle Time and Cycle Time Metric is 8-12 months Reduce number Results expected Activities Resource Time number of cycle time. of months for by end of FY09. months to training develop, development prototype, and cycle to 6-9 deploy training months. ASKME for AIR safety will provide employees. tools and technologies to reduce training development time, enable prototyping, and reduce overall time to deploy training. 2009 Technology Efficiency Accessibility Number of FY08 Baseline Add Results expected Safety for this accessibility for in 4th quarter of Document measure plus 2 safety doc FY09 (DTS and types doc types types. Tools DS/PP ASKME electronically added in and subfunction tools available in the FY08. technologies & technologies) AIR Knowledge implemented in Mgmt the Aviation Environment. Safety Knowledge Mgmt Environment (ASKME) will expand the number of safety document types readily available to FAA safety employees, designees, and industry. I.E. Security and Privacy In order to successfully address this area of the business case, each question below
  14. 14. must be answered at the system/application level, not at a program or agency level. Systems supporting this investment on the planning and operational systems security tables should match the systems on the privacy table below. Systems on the Operational Security Table must be included on your agency FISMA system inventory and should be easily referenced in the inventory (i.e., should use the same name or identifier). All systems supporting and/or part of this investment should be included in the tables below, inclusive of both agency owned systems and contractor systems. For IT investments under development, security and privacy planning must proceed in parallel with the development of the system/s to ensure IT security and privacy requirements and costs are identified and incorporated into the overall lifecycle of the system/s. Please respond to the questions below and verify the system owner took the following actions: 1. Have the IT security costs for the system(s) been identified and Yes integrated into the overall costs of the investment: a. If "yes," provide the "Percentage IT Security" for the budget year: 5.000000 2. Is identifying and assessing security and privacy risks a part of the overall Yes risk management effort for each system supporting or part of this investment. 5. Have any weaknesses, not yet remediated, related to any of the systems part of No or supporting this investment been identified by the agency or IG? a. If "yes," have those weaknesses been incorporated agency's plan of action and milestone process? 6. Indicate whether an increase in IT security funding is requested to remediate No IT security weaknesses? a. If "yes," specify the amount, provide a general description of the weakness, and explain how the funding request will remediate the weakness. 8. Planning & Operational Systems - Privacy Table: Name of System Is this a Is there a Is the PIA Is a System Was a new or new Privacy Impact available of Records amended SORN system? Assessment to the Notice published in FY 06? (PIA) that public? (SORN) covers this required for system? this system? No, because the existing Privacy Act Airworthiness Directives Development system of records Yes Yes. Yes. Yes (ADD) was not substantially revised in FY 06. No, because the existing Privacy Act system of records Assimilate Lessons Learned (ALL) Yes Yes. Yes. Yes was not substantially revised in FY 06. No, because the existing Privacy Act Certification of Imported/Exported system of records Yes Yes. Yes. Yes Products (CI/EP) was not substantially revised in FY 06. Compliance and Enforcement Actions Yes Yes. Yes. Yes No, because the (CEA) existing Privacy Act system of records was not
  15. 15. substantially revised in FY 06. No, because the existing Privacy Act system of records DDS Technical Evaluations (DTS) Yes Yes. Yes. Yes was not substantially revised in FY 06. No, because the existing Privacy Act Designee Supervision / Past system of records Yes Yes. Yes. Yes Performance (DS/PP) was not substantially revised in FY 06. No, because the existing Privacy Act Electronic Files System – Application system of records Yes Yes. Yes. Yes (EFS-A) was not substantially revised in FY 06. Electronic Files System – Services (EFS-I) ASKME is currently in the No, because the planning phase. ASKME will be Mixed existing Privacy Act Life Cycle in BY08. At the time of this system of records submission, no elements of ASKME are Yes Yes. Yes. Yes was not operational. One element, EFS substantially Services, will become operational in revised in FY 06. BY07 and be granted Full Authority to Operate prior to becoming operational. No, because the existing Privacy Act system of records Engineering Design Approval (EDA) Yes Yes. Yes. Yes was not substantially revised in FY 06. No, because the existing Privacy Act system of records Monitor Safety Related Data (MSRD) Yes Yes. Yes. Yes was not substantially revised in FY 06. No, because the existing Privacy Act Special Airworthiness Certification system of records Yes Yes. Yes. Yes (SpclAC) was not substantially revised in FY 06. No, because the existing Privacy Act system of records Special Flight Authorizations (SFA) Yes Yes. Yes. Yes was not substantially revised in FY 06. No, because the existing Privacy Act Standard Airworthiness Certification system of records Yes Yes. Yes. Yes (StdAC) was not substantially revised in FY 06. Work Tracking Software (WTS) Yes Yes. Yes. Yes No, because the existing Privacy Act system of records was not
  16. 16. substantially revised in FY 06. I.F. Enterprise Architecture (EA) 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 Yes architecture? a. If "no," please explain why? 2. Is this investment included in the agency's EA Transition Strategy? Yes a. If "yes," provide the investment name as identified in the Transition Aviation Strategy provided in the agency's most recent annual EA Assessment. Safety Knowledge Management Environment (ASKME) is not an FAA NAS system. ASKME is covered in the FY07 FAA Modernization Blueprint, specifically in section 4.1.6 covering AVS target architecture. b. If "no," please explain why? 3. Service Reference Model (SRM) Table: 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/. Agency Agency Service FEA SRM FEA SRM FEA Service FEA Service Internal BY Funding Component Component Domain Service Component Component Component or Percentage Name Description Type Reused Reused UPI External Name Reuse? Support the Asset transfer of Asset / Asset Back Office Cataloging / knowledge to Materials Cataloging / No Reuse 23 Services Identification the end Management Identification customer. Mathematical Support the Business Analysis and Mathematical No Reuse 17 formulation Analytical Statistics and Services
  17. 17. mathematical analysis of probabilistic models for random phenomena and the development and investigation of methods and principles for statistical inference. Document Support the Digital Document Document Imaging and scanning of Asset Imaging and No Reuse 18 Management OCR documents. Services OCR Support document andDigital Library / Document Library / data Asset No Reuse 0 Storage Management Storage warehousing Services and archiving. Manage the life cycle of a particular claim or investigation within an organization to include Process Case creating, Tracking and Case Automation No Reuse 36 Management routing, Workflow Management Services tracing, assignment and closing of a case as well as collaboration among case handlers. Allow the monitoring of Process Process activities Tracking and Process Automation No Reuse 6 Tracking within the Workflow Tracking Services business cycle. Use existing SRM Components or identify as "NEW". A "NEW" component is one not already identified as a service component in the FEA SRM. 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' 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. 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
  18. 18. transferred to another agency to pay for the service. 4. Technical Reference Model (TRM) Table: 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 FEA TRM Service FEA TRM Service FEA TRM Service Service Specification (i.e. Component Area Category Standard vendor or product name) Component Mathematical Data Interchange Data Exchange TBD Framework Asset Cataloging / Component Data Interchange Data Exchange TBD Identification Framework Component Database Mathematical Data Management TBD Framework Connectivity Asset Cataloging / Component Database Data Management TBD Identification Framework Connectivity Component Reporting and Mathematical Data Management TBD Framework Analysis Asset Cataloging / Component Reporting and Data Management TBD Identification Framework Analysis Document Imaging Component Presentation / Dynamic Server- TBD and OCR Framework Interface Side Display Component Presentation / Dynamic Server- Mathematical TBD Framework Interface Side Display Component Presentation / Dynamic Server- Library / Storage TBD Framework Interface Side Display Component Presentation / Dynamic Server- Process Tracking TBD Framework Interface Side Display Component Presentation / Dynamic Server- Case Management TBD Framework Interface Side Display Document Imaging Component Presentation / Dynamic Server- TBD and OCR Framework Interface Side Display Service Access and Other Electronic Web Services - TBD for Library / Storage Access Channels Delivery Channels Electronic File Service Service Access and Process Tracking Access Channels Web Browser MS Internet Explorer Delivery Service Access and Case Management Access Channels Web Browser MS Internet Explorer Delivery Document Imaging Service Access and Access Channels Web Browser MS Internet Explorer and OCR Delivery Service Access and FAA FTI network access Process Tracking Delivery Channels Internet Delivery to/from WWW Service Access and FAA FTI network access Case Management Delivery Channels Internet Delivery to/from WWW Service Access and FAA AVS Infrastructure Process Tracking Delivery Channels Intranet Delivery (over FAA FTI network) Service Access and FAA AVS Infrastructure Case Management Delivery Channels Intranet Delivery (over FAA FTI network) Document Imaging Service Access and FAA AVS Infrastructure Delivery Channels Intranet and OCR Delivery (over FAA FTI network) Service Access and Virtual Private Process Tracking Delivery Channels TBD Delivery Network (VPN) Document Imaging Service Access and Virtual Private Delivery Channels TBD and OCR Delivery Network (VPN) Service Access and Virtual Private Case Management Delivery Channels TBD Delivery Network (VPN)
  19. 19. Service Access and Service Authentication / V-Go Single Sign On - Process Tracking Delivery Requirements Single Sign-on version unavailable Service Access and Service Authentication / V-Go Single Sign-On version Case Management Delivery Requirements Single Sign-on unavailable Service Access and Service Legislative / Process Tracking Section 508 Delivery Requirements Compliance Service Access and Service Legislative / Case Management Section 508 Delivery Requirements Compliance Service Access and Service Legislative / Process Tracking Security Delivery Requirements Compliance Service Access and Service Legislative / Case Management Security Delivery Requirements Compliance Service Access and TCP/IP v4 - following FAA Process Tracking Service Transport Service Transport Delivery transition to v6 Service Access and TCP/IP v4 - following FAA Case Management Service Transport Service Transport Delivery transition to v6 Document Imaging Service Access and TCP/IP v4 - following FAA Service Transport Service Transport and OCR Delivery transition to v6 Service Access and TCP/IP v4 - following FAA Library / Storage Service Transport Service Transport Delivery transition to v6 Asset Cataloging / Service Access and TCP/IP v4 - following FAA Service Transport Service Transport Identification Delivery transition to v6 Service Access and TCP/IP v4 - following FAA Mathematical Service Transport Service Transport Delivery transition to v6 Asset Cataloging / Service Interface Integration Middleware TBD Identification and Integration Service Interface Mathematical Integration Middleware TBD and Integration Document Imaging Service Platform and Database / Database TBD and OCR Infrastructure Storage Service Platform and Database / Library / Storage Database TBD Infrastructure Storage Document Imaging Service Platform and Database / Storage TBD and OCR Infrastructure Storage Service Platform and Database / Library / Storage Storage TBD Infrastructure Storage Service Platform and Process Tracking Delivery Servers Application Servers TBD Infrastructure Service Platform and Case Management Delivery Servers Application Servers TBD Infrastructure Service Platform and Process Tracking Delivery Servers Web Servers TBD Infrastructure Service Platform and Case Management Delivery Servers Web Servers TBD Infrastructure Document Imaging Service Platform and Hardware / Scanners - model/version Peripherals and OCR Infrastructure Infrastructure TBD 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 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. 5. Will the application leverage existing No components and/or applications across the Government (i.e., FirstGov, Pay.Gov, etc)?
  20. 20. a. If "yes," please describe. 6. Does this investment provide the public No with access to a government automated information system? a. If "yes," does customer access require specific software (e.g., a specific web browser version)? 1. If "yes," provide the specific product name(s) and version number(s) of the required software and the date when the public will be able to access this investment by any software (i.e. to ensure equitable and timely access of government information and services). Exhibit 300: Part II: Planning, Acquisition and Performance Information II.A. Alternatives Analysis Part II should be completed only for investments identified as "Planning" or "Full Acquisition," or "Mixed Life-Cycle" investments in response to Question 6 in Part I, Section A above. In selecting the best capital asset, you should identify and consider at least three viable alternatives, in addition to the current baseline, i.e., the status quo. Use OMB Circular A- 94 for all investments, and the Clinger Cohen Act of 1996 for IT investments, to determine the criteria you should use in your Benefit/Cost Analysis. 1. Did you conduct an alternatives analysis for this project? Yes a. If "yes," provide the date the analysis was completed? 5/22/2003 b. If "no," what is the anticipated date this analysis will be completed? c. If no analysis is planned, please briefly explain why: II.B. Risk Management You should have performed a risk assessment during the early planning and initial concept phase of this investment's life-cycle, developed 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. 1. Does the investment have a Risk Yes Management Plan? a. If "yes," what is the date of the plan? 4/4/2006 b. Has the Risk Management Plan been No significantly changed since last year's submission to OMB? c. If "yes," describe any significant changes: The ASKME Risk Management Plan has not changed significantly because the start of activities was delayed while obtaining FAA baseline approval but the information in the risk register is constantly monitored and updated. Program Office has a Risk Management Plan, with an established Risk Register, which lists all of

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