FAAXX610: Aviation Safety Knowledge Management (ASKME/AVS

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: (For IT investment only, see section 53. For all other, use agency ID system.)

021-12-01-14-01-1290-00

6. What kind of investment will this be in 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.)

Planning

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: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 Committee approve this request?

No

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

10. Did the Project Manager review this Exhibit?

Yes

11. Contact information of Project Manager?

Phone Number

Email

12. Has the agency developed and/or promoted cost effective, energy efficient and environmentally sustainable techniques or practices for this project.

Yes

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?

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 the PMA initiatives?

No

If "yes," check all that apply:

13a. Briefly describe how this asset directly supports the identified initiative(s)?

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.)

Yes

a. If "yes," does this investment address a weakness found during the PART review?

No

b. If "yes," what is the name of the PART program assessed by OMB's Program Assessment Rating Tool?

AVS Operations Funding

c. If "yes," what PART rating did it receive?

Effective

15. Is this investment for information technology?

Yes

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? (per CIO Council PM Guidance)

Level 2

17. 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 identified as "high risk" on the Q4 - FY 2006 agency high risk report (per OMB's "high risk" memo)?

No

19. Is this a financial management system?

No

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 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

Phone Number

Title

E-mail

23. Are the records produced by this investment appropriately scheduled with the National Archives and Records Administration's approval?

Yes

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)

PY - 1 andEarlier

PY 2006

CY 2007

BY 2008

BY + 1 2009

BY + 2 2010

BY + 3 2011

BY + 4 andBeyond

Total

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


Government FTE Costs


Number of FTE represented by Costs:

9.9 3.0 5.75 8.0 0 0 0 0 0

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 hire additional FTE's?

No

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 compliance?

Yes

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 been approved in accordance with agency requirements?

No

a. If "yes," what is the date? 9/30/2003

b. If "no," will an acquisition plan be developed?

Yes

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 Year

Strategic Goal(s)

Supported

Performance Measure Actual/baseline (from Previous

Year)

Planned Performance Metric (Target)

Performance Metric Results (Actual)

2003 FAA Flight Plan Goal #4: Organizational Excellence, Strategy 2: Control costs while delivering quality customer service.

Metric is the number of AIR Project Managers trained on SDLC Standards implementation.

No training provided to AIR Project Managers on the newly created SDLC Standards.

Train AIR Project Managers on SDLC Standards implementation techniques. In the years following, these SDLCs will be applied to software projects to improve product delivery within the cost/schedule/performance baseline.

100% of AIR Project Managers attended FAA SDLC Standards training in May 2003.

2003 FAA Flight Plan Goal #4: Organizational Excellence, Strategy 2: Control costs while delivering

Metric is the accuracy of the cost estimate for the chosen cost methodology.

Develop a more accurate cost estimate during the Initial Investment Analysis

Rough Order of Magnitude (ROM) cost estimate generated during the Mission Need Phase.

The ASKME Investment Analysis Team will use an Analogous System methodology to update the cost estimate along with input from Subject Matter Experts. This will provide a higher level of

The Analogous System methodology considered actual historic developmental costs for software

quality customer service.

Phase in preparation for JRC-2a.

confidence that the program can be executed within budget.

systems similar to ASKME.

2003 FAA Flight Plan Goal #1: Increased Safety, Strategy 2: Expand FAA-industry partnerships and data-driven safety programs that prioritize and address risks before they lead to accidents.

Metric is the number of causal factors related to regulation, certification, and continued operational safety.

Determine a method to identify regulation, certification, and continued operational safety related precursor events leading to an aviation accident.

This will contribute to improving safety by providing a method to measure the reduction of accidents resulting from the implementation of ASKME.

Causal factors not determined. No reduction of certification related accidents.

Causal factors determined by ASKME Investment Analysis team.

The ASKME Investment Analysis Team identified a list of causal factors relevant to regulation, certification, and continued operational safety. Note: Realization of actual safety benefits will not occur until FY11.


Metric is the number of SDLC Standards developed.Develop Software Development Lifecycle (SDLC) Standards to ensure customer satisfaction while improving delivery of software applications within baselined cost, schedule, and performance criteria. In the years following, these SDLCs will be applied to software projects to improve product delivery within the cost/schedule/performance baseline.

No software application development standards exist within AIR.

Establish governance for standards. Adopt standards for SDLC.

Standards Board was established in Jan. 2003 to act as the authoritative body overseeing development of the SDLC Standards. Development of the SDLC Standards was completed. SDLC standards were developed and approved by the AIR IT Steering Group.


Develop Business IT Investment Management Standards and Processes to ensure customer satisfaction while improving delivery of software applications within baselined cost/schedule/performance criteria. The Business IT Investment Management Standards and Processes will be applied to software projects to improve product delivery within the cost/schedule/performance baseline. Result: a systematic approach to managing software projects, reduced oversight costs, and

No standards exist to assess, monitor, and measure IT investment's customer satisfaction.

Metric is the number of Business IT Investment Management Standards developed.

The IT Steering Group was identified as the authoritative oversight body in Apr. 2004. Development of the Business IT Investment Management Standards was completed.

quality customer service.


Develop Project Management Standards and Processes to ensure customer satisfaction while improving delivery of software applications within baselined cost/schedule/performance criteria. The PM Standards and Processes will be applied to software projects 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.

No standards exist to assess, monitor, and measure IT investment's customer satisfaction.

Metric is the number of Project Management Standards developed.

The IT Steering Group was identified as the authoritative oversight body in Apr. 2004. Development of the Project Management Standards was completed.


Develop a more accurate cost estimate during the Final Investment Analysis Phase in preparation for JRC-2b. This will provide a higher level of confidence that the program can be executed within budget, resulting in reduced development costs while delivering quality customer service.

JRC-2a cost estimate generated during the Initial Investment Analysis Phase.

Metric is the accuracy of the cost estimate for the chosen cost methodology The ASKME Investment Analysis Team will use a more accurate and refined industry accepted Function Point Analysis method of updating the software cost estimate.

The accuracy of the cost was improved through the use of a Function Point Analysis methodology using the cost estimation tool Cost Xpert. The results will be presented to the JRC in 4th Quarter FY2005.


Applying the Business IT Investment Management Standards to software projects will improve product delivery within the cost/schedule/performance baseline by providing a more systematic approach to software development, resulting in reduced 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.

No training provided to AIR Project Managers on the newly created Business IT Investment Management Standards.

Metric is the number of AIR Project Managers trained on Business IT Investment Management Standards implementation.

AIR will train 100% of its Project Managers on Business IT Investment Management Standards implementation by 30 Sept 2005.

2005 FAA Flight Plan Goal #4: Organizational Excellence, Strategy 2:

Applying the Project Management Standards to software projects will improve product delivery within the

No training provided to AIR Project Managers on the newly created Project

Metric is the number of AIR Project Managers trained on Project Management Standards implementation.

AIR will train 100% of its Project Managers on Project

Control costs while delivering quality customer service.

cost/schedule/performance baseline by providing a more systematic approach to S/W development, resulting in reduced costs 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.

Management Standards.

Management Standards implementation by 30 Sept 2005.


Increase the number of ASAS systems performing within cost and schedule baselines by 15%. Applying the Business IT Investment Management, Project Management, and SDLC Standards to software projects will improve product delivery within the cost/schedule/performance baseline by providing a more systematic approach to software development, resulting in reduced development costs while delivering quality customer service.

60% of ASAS systems being subsumed by ASKME are within cost and schedule baselines.

Metric is the number of AIR software systems that are compliant to Business IT Investment Management, Project Management, and SDLC Standards. The goal of FY05 is to ensure an additional 15% of AIR software systems are compliant.

The 15% increase in the number of AIR software systems that are compliant with the new standards will be achieved by 30 Sept 2005.

2005 FAA Flight Plan Goal #4: Organizational Excellence, Strategy 3: Make decisions based on reliable data to improve our overall performance and customer satisfaction.

Identify an AIR Customer Satisfaction Team and develop a Customer Satisfaction Survey that can be used to measure customer satisfaction. In 2006, the initial survey will establish the baseline Customer Satisfaction levels. This performance improvement goal is necessary to meet the future planned performance improvement goals that are identified under the Customer Satisfaction measurement indicator in Table 2 below.

No formal methods exist for measuring customer satisfaction.

Metric will be to measure the level of Customer Satisfaction within AIR. The AIR Customer Satisfaction Team will meet in the 1st Quarter FY2005 to develop the customer satisfaction survey. The initial survey will be issued in 2006.

Results are expected to be achieved by 30 Sept 2005.


Validate the ASKME Integrated Product Team's cost estimate for the software development efforts of the 1st ASKME application of Useful Segment 2.

This will provide a higher level of confidence that the program can be executed within budget, resulting in reduced development costs while delivering quality customer service.

Function Point Analysis based cost estimate generated during the Final Investment Analysis Phase.

Metric: Accuracy of the cost estimate for the chosen cost methodology. The ASKME IPT will issue a RFP to industry to solicit proposals for development of the ASKME Electronic File System. The proposals will be compared with the IPT's Cost estimate.

Evaluation of the Request for Proposal will be completed by 30 Sept 2005.

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 Year

Measurement Area

Measurement Category

Measurement Grouping

Measurement Indicator

Baseline Planned Improvemen

t to the Baseline

Actual Results

2006 Customer Results

Service Accessibility

Integration Percent of total AIR business processes (based on AVS Quality Mgmt System documented processes) integrated into AVS enterprise architecture and Aviation Safety Knowledge Mgmt Environment.

Zero of 44 (AIR QMS) processes integrated.

For FY06 - performance requirement was to document AIR business processes and formalize into a Quality Management System. Future FY metrics are to increase percentage of AIR business processes fully leveraging ASKME tools and technologies.

Documented AIR business processes in AVS Quality Management System. Processes have been documented and validated via ISO 9000 registration, August 18, 2006.

2006 Mission and Business Results

Planning and Resource Allocation

Workforce Planning

Number of ASIs, ASEs, and Designees having RBRT (Risk Based Resource Targeting) applied to determine their planned work.

Currently 200 ASIs have a portion of their work planned through the application of risk factors to determine the best use of AIR's limited resources. ASKME will provide tools and technologies to enable expansion of RBRT for all ASI, ASE activities.

For FY06, AIR will formalize a systemic approach to risk based resource targeting that can be applied to all facets of AIRs safety workforce and leveraged through implementation of ASKME tools and technologies.

AIR defined RBRT for one process (Cert Mgmt - Manufacturing) Requirements gathered and validated for ASE implementation of RBRT and the automation needs.

2006 Processes and Activities

Cycle Time and Resource Time

Cycle Time Metric is number of months to develop, prototype, and deploy

12-18 Months cycle time.

Reduce number of months for training development cycle. Aviation

No change for FY06 - Metric established based on planned tools & technologies

training for AIR safety employees.

Safety Knowledge Mgmt Environment (ASKME) will provide tools and technologies to reduce training development time, enable prototyping, and reduce overall time to deploy training.

to be provided by ASKME.

2006 Technology Efficiency Accessibility Number of Safety Document types electronically available in the AIR Knowledge Mgmt Environment.

Currently the AIR Regulatory Guidance Library provides access to 14 safety document types - FAR, SFAR,NPRMs, Final Rules, Make/Model Info, TC Data sheets, STCs, ADs, ACs, Orders & Notices, TSOs, Speci Conditions, Exemptions, Equiv Levels of Safety

Tools and technologies implemented in the Aviation Safety Knowledge Mgmt Environment (ASKME) will expand the number of safety document types readily available to FAA safety employees, designees, and industry.

FY06 Baseline established for this metric with RGL. EFS global component prototype tested and accepted by AIR user group.




Zero of 44 (AIR QMS) processes integrated.

Increase percentage, from zero to 10%, of AIR business processes fully leveraging ASKME tools and technologies.

Results expected 3d qtr of FY07



Workforce Planning

Number of ASIs, ASEs, and Designees having RBRT (Risk Based Resource Targeting) applied to determine

200 ASIs - partial use of RBRT via automated tools and technologies

Expand by 100 the number of ASIs, ASEs, and designees whose work is managed using a systemic approach to

Results are expected in 4th quarter of FY07

their planned work.

risk based resource targeting (RBRT) in order to focus limited safety oversight resources on efforts most likely to prevent aviation accidents.



Cycle Time Metric is number of months to develop, prototype, and deploy training for AIR safety employees.

12-18 Months cycle time.

Reduce number of months for training development cycle to 10-14 months. ASKME will provide tools and technologies to reduce training development time, enable prototyping, and reduce overall time to deploy training.

Results expected by end of FY07.


AIR Regulatory Guidance Library - see FY2006.

Add accessibility for 2 safety doc types. Tools and technologies implemented in the Aviation Safety Knowledge Mgmt Environment (ASKME) will expand the number of safety document types readily available to FAA safety employees, designees, and industry.

Results expected 3d qtr of FY07 (SAIBs) and 4th qtr of FY07 (deploy EFS)



Integration Percent of total AIR business processes (based on AVS Quality Mgmt System documented processes) integrated into AVS enterprise

10% of AIR processes integrated into EA

Increase percentage to 20% of AIR business processes fully leveraging ASKME tools and technologies.


architecture and Aviation Safety Knowledge Mgmt Environment.



Workforce Planning



Expand by 100 the number of ASIs, ASEs, and designees whose work is managed using a systemic approach to risk based resource targeting (RBRT) in order to focus limited safety oversight resources on efforts most likely to prevent aviation accidents.





10-14 months cycle time.




AIR Regulatory Guidance Library plus doc types added in FY07.

Add accessibility for 2 safety doc types. Tools and technologies implemented in the Aviation Safety Knowledge Mgmt Environment (ASKME) will expand the number of safety document types readily available to

Results expected in 3d qtr FY08 (Leverage ASKME EFS)

FAA safety employees, designees, and industry.




20% of AIR processes integrated into EA

Increase percentage to 35% of AIR business processes fully leveraging ASKME tools and technologies.




Workforce Planning



Expand by 100 the number of ASIs, ASEs, and designees whose work is managed using a systemic approach to risk based resource targeting (RBRT) in order to focus limited safety oversight resources on efforts most likely to prevent aviation accidents.





8-12 months cycle time.



2009 Technology Efficiency Accessibility Number of Safety

FY08 Baseline for

Add accessibility

Results expected in

Document types electronically available in the AIR Knowledge Mgmt Environment.

this measure plus doc types added in FY08.

for 2 safety doc types. Tools and technologies implemented in the Aviation Safety Knowledge Mgmt Environment (ASKME) will expand the number of safety document types readily available to FAA safety employees, designees, and industry.

4th quarter of FY09 (DTS and DS/PP ASKME subfunction tools & technologies)

I.E. Security and Privacy

In order to successfully address this area of the business case, each question below 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 integrated into the overall costs of the investment:

Yes

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 risk management effort for each system supporting or part of this investment.

Yes

5. Have any weaknesses, not yet remediated, related to any of the systems part of or supporting this investment been identified by the agency or IG?

No

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 IT security weaknesses?

No

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 new

Is there a Privacy Impact

Is the PIA available

Is a System of Records

Was a new or amended SORN

system? Assessment (PIA) that covers this

system?

to the public?

Notice (SORN)

required for this system?

published in FY 06?

Airworthiness Directives Development (ADD) Yes Yes. Yes. Yes

No, because the existing Privacy Act system of records was not substantially revised in FY 06.

Assimilate Lessons Learned (ALL) Yes Yes. Yes. Yes


Certification of Imported/Exported Products (CI/EP) Yes Yes. Yes. Yes


Compliance and Enforcement Actions (CEA) Yes Yes. Yes. Yes


DDS Technical Evaluations (DTS) Yes Yes. Yes. Yes


Designee Supervision / Past Performance (DS/PP) Yes Yes. Yes. Yes


Electronic Files System â€“ Application (EFS-A) Yes Yes. Yes. Yes


Electronic Files System â€“ Services (EFS-I) ASKME is currently in the planning phase. ASKME will be Mixed Life Cycle in BY08. At the time of this submission, no elements of ASKME are operational. One element, EFS Services, will become operational in BY07 and be granted Full Authority to Operate prior to becoming operational.

Yes Yes. Yes. Yes


Engineering Design Approval (EDA) Yes Yes. Yes. Yes


Monitor Safety Related Data (MSRD) Yes Yes. Yes. Yes No, because the existing Privacy Act system of records was not substantially

revised in FY 06.

Special Airworthiness Certification (SpclAC) Yes Yes. Yes. Yes


Special Flight Authorizations (SFA) Yes Yes. Yes. Yes


Standard Airworthiness Certification (StdAC) Yes Yes. Yes. Yes


Work Tracking Software (WTS) Yes Yes. Yes. Yes


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 architecture?

Yes

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 Strategy provided in the agency's most recent annual EA Assessment.

Aviation 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 Component

Name

Agency Component Description

Service Domain

FEA SRM Service

Type

FEA SRM Componen

t

FEA Service

Component Reused

Name

FEA Service

Component Reused

UPI

Internal or

External

Reuse?

BY Funding

Percentage

Asset Cataloging / Identification

Support the transfer of knowledge to the end customer.

Back Office Services

Asset / Materials Management


No Reuse 23

Mathematical

Support the formulation and mathematical analysis of probabilistic models for random phenomena and the development and investigation of methods and principles for statistical inference.

Business Analytical Services

Analysis and Statistics

Mathematical No

Reuse 17

Document Imaging and OCR

Support the scanning of documents.

Digital Asset Services

Document Management


No Reuse 18

Library / Storage

Support document and data warehousing and archiving.

Digital Asset Services

Document Management

Library / Storage No

Reuse 0

Case Management

Manage the life cycle of a particular claim or investigation within an organization to include creating, routing, tracing, assignment and closing of a case as well as collaboration among case handlers.

Process Automation Services

Tracking and Workflow

Case Management

No Reuse 36

Process Allow the Process Tracking Process No 6

Tracking

monitoring of activities within the business cycle.

Automation Services

and Workflow Tracking Reuse

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 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 Component

FEA TRM Service Area

FEA TRM Service Category

FEA TRM Service Standard

Service Specification (i.e. vendor or product

name)

Mathematical Component Framework Data Interchange Data Exchange TBD


Component Framework Data Interchange Data Exchange TBD

Mathematical Component Framework Data Management Database

Connectivity TBD


Component Framework Data Management Database

Connectivity TBD

Mathematical Component Framework Data Management Reporting and

Analysis TBD


Component Framework Data Management Reporting and

Analysis TBD


Component Framework

Presentation / Interface

Dynamic Server-Side Display TBD

Mathematical Component Framework



Library / Storage Component Framework



Process Tracking Component Framework



Case Management Component Framework




Component Framework



Library / Storage Service Access and Delivery Access Channels Other Electronic

ChannelsWeb Services - TBD for Electronic File Service

Process Tracking Service Access and Delivery Access Channels Web Browser MS Internet Explorer

Case Management Service Access and Delivery Access Channels Web Browser MS Internet Explorer


Service Access and Delivery Access Channels Web Browser MS Internet Explorer

Process Tracking Service Access and Delivery Delivery Channels Internet FAA FTI network access

to/from WWW

Case Management Service Access and Delivery Delivery Channels Internet FAA FTI network access

to/from WWW

Process Tracking Service Access and Delivery Delivery Channels Intranet FAA AVS Infrastructure

(over FAA FTI network)

Case Management Service Access and Delivery Delivery Channels Intranet FAA AVS Infrastructure



Service Access and Delivery Delivery Channels Intranet FAA AVS Infrastructure


Process Tracking Service Access and Delivery Delivery Channels Virtual Private

Network (VPN) TBD


Service Access and Delivery Delivery Channels Virtual Private

Network (VPN) TBD

Case Management Service Access and Delivery Delivery Channels Virtual Private

Network (VPN) TBD

Process Tracking Service Access and Delivery

Service Requirements

Authentication / Single Sign-on

V-Go Single Sign On - version unavailable

Case Management Service Access and Delivery


Authentication / Single Sign-on

V-Go Single Sign-On version unavailable



Legislative / Compliance Section 508



Legislative / Compliance Section 508



Legislative / Compliance Security



Legislative / Compliance Security

Process Tracking Service Access and Delivery Service Transport Service Transport TCP/IP v4 - following FAA

transition to v6

Case Management Service Access and Delivery Service Transport Service Transport TCP/IP v4 - following FAA

transition to v6


Service Access and Delivery Service Transport Service Transport TCP/IP v4 - following FAA

transition to v6

Library / Storage Service Access and Delivery Service Transport Service Transport TCP/IP v4 - following FAA

transition to v6


Service Access and Delivery Service Transport Service Transport TCP/IP v4 - following FAA

transition to v6

Mathematical Service Access and Delivery Service Transport Service Transport TCP/IP v4 - following FAA

transition to v6


Service Interface and Integration Integration Middleware TBD

Mathematical Service Interface and Integration Integration Middleware TBD


Service Platform and Infrastructure

Database / Storage Database TBD

Library / Storage Service Platform and Infrastructure

Database / Storage Database TBD



Database / Storage Storage TBD

Library / Storage Service Platform and Infrastructure

Database / Storage Storage TBD

Process Tracking Service Platform and Infrastructure Delivery Servers Application Servers TBD

Case Management Service Platform and Delivery Servers Application Servers TBD

Infrastructure

Process Tracking Service Platform and Infrastructure Delivery Servers Web Servers TBD

Case Management Service Platform and Infrastructure Delivery Servers Web Servers TBD



Hardware / Infrastructure Peripherals Scanners - model/version

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 components and/or applications across the Government (i.e., FirstGov, Pay.Gov, etc)?

No

a. If "yes," please describe.

6. Does this investment provide the public with access to a government automated information system?

No

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 Management Plan?

Yes

a. If "yes," what is the date of the plan? 4/4/2006

b. Has the Risk Management Plan been significantly changed since last year's submission to OMB?

No

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 the identified risks for the program. The plan includes quarterly meetings where all risk owners meet to review and update the Risk Register. Continuing efforts in the FAA Acquisition Management System include updates to the Risk Management Plan and Risk Register prior to final investment decision approval, scheduled for June 2007. Risk Management activities for ASKME initiatives will continue to be constantly monitored after the final decision and result in regular updates to the Risk Management Plan (at least annual) and associated Risk Register.

2. If there currently is no plan, will a plan be developed?

a. If "yes," what is the planned completion date?

b. If "no," what is the strategy for managing the risks?

3. Briefly describe how investment risks are reflected in the life cycle cost estimate and investment schedule:The ASKME cost estimate reflects risk adjusted cost and schedule estimates for the program. Risk adjusted estimates were developed using traditional cost estimating methods for software development (expert judgment and function point analysis in conjunction with Monte Carlo Simulation software). Whenever a control account experiences a 10% or greater variance, the control account manager will prepare a variance analysis report and that control account will be analyzed and tracked to completion. To counter these potential risks, the ASKME program team has planned several approaches: 1) Award separate, short-duration contracts for detailed specification development for each sub-function/component. 2) Generate detailed System Specifications to clearly define the requirements prior to issuing the CPIF contracts. With mature subsystem specifications included in the respective RFP for development, cost/schedule/technical risks are mitigated. Awarding separate, relatively short-duration CPIF contracts for developing no more than two sub-functions/components each. For ASKME, each contract will provide for the negotiation at the outset of the target cost, a target fee, a minimum and maximum fee, and a fee adjustment formula. 3) In addition to cost and technical evaluation for each development contract, place emphasis on schedule planning and performance. Contracts will incorporate schedule based incentive clauses to motivate the contractor. Cost and schedule reserves for the program are built into each Control Account and are tracked as part of the program's monthly and quarterly reporting process. In addition, the program's acquisition strategy (using cost, schedule, and technical performance incentives) promotes the program's risk management planning and management of its cost and schedule reserves.

II.C. Cost and Schedule Performance

1. Does the earned value management system meet the criteria in ANSI/EIA Standard-748?

No

2. Answer the following questions about current cumulative cost and schedule performance. The numbers reported below should reflect current actual information. (Per OMB requirements Cost/Schedule Performance information should

include both Government and Contractor Costs):

a. What is the Planned Value (PV)? 0.000000

b. What is the Earned Value (EV)? 0.000000

c. What is the actual cost of work performed (AC)?

0.000

d. What costs are included in the reported Cost/Schedule Performance information (Government Only/Contractor Only/Both)?

Contractor and Government

e. "As of" date: 6/21/2007

3. What is the calculated Schedule Performance Index (SPI= EV/PV)?

0.000000

4. What is the schedule variance (SV = EV-PV)?

0

5. What is the calculated Cost Performance Index (CPI = EV/AC)?

0

6. What is the cost variance (CV=EV-AC)? 0

7. Is the CV% or SV% greater than +/- 10%? (CV%= CV/EV x 100; SV%= SV/PV x 100)

No

a. If "yes," was it the?

b. If "yes," explain the variance:

c. If "yes," what corrective actions are being taken?

d. What is most current "Estimate at Completion"?

0.000000

8. Have any significant changes been made to the baseline during the past fiscal year?

No

8. If "yes," when was it approved by OMB?

No

Documents

FAAXX610: Aviation Safety Knowledge Management (ASKME/AVS