Program_Assessment_Template__FY12.xlsx

XLSX spreadsheet 399 KB Posted Nov 29, 2012

Attached to: INTEGRATED POSTSECONDARY EDUCATION DATA SYSTEM WEB-BASED DATA COLLECTION
Solicitation number: ED-IES-13-R-0012
Issued by: Department of Education Contracts and Acquisition Management

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IPEDS PROGRAM ASSESSMENT TEMPLATE

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Amendment_0001.pdf	PDF	Apr 23, 2013
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Attachment_D_-_Past_Pefromance.docx	DOCX document	Apr 4, 2013
Attachment_B_-_QASP.doc	DOC document	Apr 4, 2013
Attachment_E_-_Small_Business_Subcontracting_Plan_form.docx	DOCX document	Apr 4, 2013
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IRT Instructions

Results Template and Instructions for Independent Review Team (IRT)

3.1.1 SCOPE MANAGEMENT PLAN

Authorised User: Capability Component and reference number per the Program Assessment Guide.

Supporting Artifacts

Artifact File Name	Supporting Artifacts
See PM Comment Section
Scope Management Plan	Scope Management Plan
Project Management Plan	Project Management Plan
Change Request	Change Request
Business Case	Business Case
Work Breakdown Structure	Work Breakdown Structure
Contract Statement of Work	Contract Statement of Work
Requirements Traceability Matrix	Requirements Traceability Matrix
Project Management Plan Approval	Project Management Plan Approval
								CORRECTIVE ACTION PLAN
ID	Criteria	Supporting Artifacts	Supporting Artifact 1	Supporting Artifact 3	Supporting Artifact 4	Self Assessment	IRT Score

Authorised User:

The IRT will score the investment based on the applicable criteria. Scoring will be on a 1-3 scale & not applicable Items of Concern

T. Foley: Only if score of 1. Note weaknesses that are found. Desired Result

T. Foley: Only if score of 1. Explain what will be accomplished by complying with the criteria. Measurable Evidence of Correction

T. Foley: Only if score of 1. Identify a document or other artifact that will be demonstrable evidence that the weekness has been corrected.

1	The plan for managing program scope has been created	Scope Management Plan, Project Management Plan
2	The plan for managing program scope has been updated to reflect any changes in scope	Project Management Plan, Change Request
3	The plan for managing scope includes a scope statement, definition of scope objectives, deliverables, and process for managing changes in scope	Project Management Plan
4	The plan for managing scope is consistent with the Business Case, WBS, Contract SOW, and Requirements Traceability Matrix (RTM)	Business Case, Work Breakdown Structure, Contract Statement of Work, Requirements Traceability Matrix
5	A plan for managing program scope has been approved by management stakeholders	Project Management Plan Approval
PM Comment:

IR Comment Authorised User: Provide a comment to the PM for any criteria requirements you scored 2-3 that you feel requires additional information for futre assessments or could help improve the investment.

T. Foley: Only if score of 1. Explain what will be accomplished by complying with the criteria.

T. Foley: Only if score of 1. Identify a document or other artifact that will be demonstrable evidence that the weekness has been corrected.

Authorised User: Capability Component and reference number per the Program Assessment Guide. Score Assigned

Authorised User: This cell will automatically calculate the score. The Capability Component score is calculated by taking average of the scores of all the individial criteria scored.

(Any "Not Applicable" response will not be included in the calculation)

----- Color Code Legend -----

Cells highlighted in this shade of GREEN are for reference to the Program Assessment Guide

Cells highlighted in this shade of YELLOW are headers/footers for the tables in this Self-Assessment Template

Cells highlighted in this shade of BLUE are for completion by the PM

Cells highlighted in this shade of ORANGE are for completion by the Independent Review Team (IRT)

All other cells (highlighted and not highlighted) are for completion by the Independent Review (IRT)

QA Tab

Name of IRT Reviewer Name of IRT QA Person

	IRT Assessment Check	Yes	NO		QA Reviewer Comments
1	IRT Reviewer's name and name of QA person are entered at the top of this QA tab
2	Ensure the Investment Information tab is complete
3	Ensure the Investment Information is correct by validating against the current eCPIC record, with particular attention to the correct investment phase on the “Information Input” tab
4	All IRT Score fields in the Criteria tabs have an entry
5	Any IRT Score rated a 1 must have an “Item of Concern”, “Desired Result” and a “Measureable Evidence”			X
6	If there is an “Item of Concern” there must be a “Desired Result” and a “Measureable Evidence”			X
7	Ensure N/A is appropriate
8	Review last Program Assessment for open corrective actions. Note their continuation as open in the most appropriate scoring section
9	Measurable evidence of correction is not "vague"
10	Ensure complete sentences through-out the assessment when appropriate
11	Grammar and punctuation is correct
12	Spelling of this assessment is correct
13	Corrective Action Plan Tab - Ensure there are no #REF errors and no blank fields.
14	Corrective Action Plan Tab - Ensure all cells are adjusted for cell height

Home tab -> Format-> Autofit Row Height

- Ck that all text is showing. The Autofit feature sometimes does not work right.

- Adjust rows to be a minimum height of 32 to allow for PM field entry.

15	Corrective Action Plan Tab - Ensure tab is locked, then ensure the PM entry fields are not locked
16	Scoring Summary Tab - Check for blank Capability Area scores. If there are any, use the Adjusted Weight table to the right.
17	Report Tab - Proof, and check that the correct score from the Scoring Summary tab is used.
18	Report Tab - Hide blank rows betweeb the last capability area score and the narrative at the bottom. Leave one blank row below the last score.
19	Printing - Check print settings and page break settings.
20	UnHide Tabs - Ensure the IRT Report and the Corrective Action Plan tab is unhidden (if the assessment is a re-assessment unhide the IRT Report-CAP Re-assessment tab)
21	Hide Tabs, Columns and rows not pertaining to the PM are hidden and CPIC password protected. Hide QA Tab.

23	CAP Review Check List - Ensure the new scores are reflected in the Scoring Summary tab
24	CAP Review Check List - Ensure the new scores are reflected in the Scoring Summary tab

IRT Report

OCIO Independent Review Team

Report of Program Assessment Findings

Investment Name:
Investment Phase:
Project Manager:
PM Qualifications:
Segment Name:	Segment Owner:
IAMT Liaison:
Date of Last PIRWG approved BCR:
Date Artifacts Submitted:	Date Review Completed:
Timely Submission? :

(Yes/No)

This investment has been assessed and received an overall weighted score of:
A weighted score below 2 indicates that the investment performance does not meet expectations.
The PIRWG has assigned weights to each Capability Area to indicate their relative importance. The following are the scores for the Capability Areas that the PIRWG identified as the most important (greater than 15% of total score).
Reference #	Capability Area	Raw Score
3.4	Cost Management
3.7	Contract Oversight
3.8	Performance Management

	Capability Areas are composed of Capability Components. The following Capability Components have a substantive weakness (raw score less than 2):
	Reference #	Capability Component	Raw Score
0
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A

A copy of the complete Program Assessment findings and the corrective action plan template is attached to this report. The Project Manager should review each capability area tab for reviewer's comments in addition to the findings contained in the corrective action plan. Those comments may provide additional insight into the rationale for specific scoring and/or opportunities for improvement.

Scoring Summary

Program Assessment Score

Capability Area Level
Reference	Capability Area	Score	% Weight	Weighted Score	Adjusted weight	Adjusted Score
3.1	Scope Management		12.0%		15%

T. Foley: The example formula in cells in column I assumes that there is no score in cells E9 & E10. You have to adjust the formula to match the cells that have no score.

ERROR:#VALUE!
	3.2	Requirements Management		10.0%
	3.3	Schedule Management		8.0%
	3.4	Cost Management		15.0%		18%	ERROR:#VALUE!
	3.5	Risk Management		12.0%		15%	ERROR:#VALUE!
	3.6	Quality Management		8.0%		10%	ERROR:#VALUE!
	3.7	Contract Oversight		15.0%		18%	ERROR:#VALUE!
	3.8	Performance Management		15.0%		18%	ERROR:#VALUE!
	3.9	Security & Privacy		5.0%		6%	ERROR:#VALUE!
		Self Assessment - timely submission	0.00	0.0%	0.00
	Independent Review Team Program Assessment Final Score =			100%		100%

T. Foley: The adjusted weight should always = 100%

ERROR:#VALUE!

T. Foley: Change the IRT Report score reference from G18 to J18

T. Foley: Use this adjustment if there is no score for a capability area.

T. Foley: If this adjustment is not needed, hide columns H-J.

T. Foley: The example formula in cells in column I assumes that there is no score in cells E9 & E10. You have to adjust the formula to match the cells that have no score.

Capability Component Level			Note: A blank score indicates N/A
		Reference	Capability Component	Score
		3.1.1	Scope Management Plan
		3.1.2	Work Breakdown Structure
		3.1.3	Scope Change Requests
		3.1.4	Alternative Analysis
		3.2.1	Requirements Specification
		3.2.2	Requirements Traceability Matrix
		3.3.1	Program/Project Schedule
		3.3.2	Schedule Control
		3.4.1	Cost Estimates
		3.4.2	Program/Project Budget
		3.4.3	Cost Control
		3.5.1	Risk Management Plan
		3.5.2	Risk Log
		3.5.3	Risk control
		3.6.1	Quality Management Plan
		3.6.2	Quality Assurance
		3.7.1	Acquisition Plan
		3.7.2	Contract Statement of Work / Inter-Agency Agreement
		3.7.3	Contract Perfomance Report
		3.8.1	Baseline Change Control
		3.8.2	DME versus Steady-State Costs
		3.8.3	Earned Value Management
		3.8.4	Operational Analysis (Investments in Mixed or Steady State)
		3.9.1	Security
		3.9.2	Privacy
		Criteria Level
	Criteria Mapping	Criteria #	Capability Component	Score
	3.1.1.1	1	3.1.1
	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!
	3.1.1.2	2	3.1.1
	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!
	3.1.1.3	3	3.1.1
	3.1.2.1	1	3.1.2
	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!
	3.1.2.2	2	3.1.2
	3.1.2.3	3	3.1.2
	3.1.2.4	4	3.1.2
	3.1.3.1	1	3.1.3
	3.1.3.2	2	3.1.3
	3.1.3.3	3	3.1.3
	3.1.3.4	4	3.1.3
	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!
	3.1.4.1	1	3.1.4
	3.1.4.2	2	3.1.4
	3.1.4.3	3	3.1.4
	3.1.4.4	4	3.1.4
	3.2.1.1	1	3.2.1
	3.2.1.2	2	3.2.1
	3.2.1.3	3	3.2.1
	3.2.1.4	4	3.2.1
	3.2.1.5	5	3.2.1
	3.2.2.1	1	3.2.2
	3.2.2.2	2	3.2.2
	3.2.2.3	3	3.2.2
	3.2.2.4	4	3.2.2
	3.2.2.5	5	3.2.2
	3.3.1.1	1	3.3.1
	3.3.1.2	2	3.3.1
	3.3.1.3	3	3.3.1
	3.3.1.4	4	3.3.1
	3.3.1.5	5	3.3.1
	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!
	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!
	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!
	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!
	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!
	3.3.2.1	1	3.3.2
	3.3.2.2	2	3.3.2
	3.3.2.3	3	3.3.2
	3.3.2.4	4	3.3.2
	3.3.2.5	5	3.3.2
	3.4.1.1	1	3.4.1
	3.4.1.2	2	3.4.1
	3.4.1.3	3	3.4.1
	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!
	3.4.2.1	1	3.4.2
	3.4.2.2	2	3.4.2
	3.4.2.3	3	3.4.2
	3.4.2.4	4	3.4.2
	3.4.2.5	5	3.4.2
	3.4.3.1	1	3.4.3
	3.4.3.2	2	3.4.3
	3.4.3.3	3	3.4.3
	3.4.3.4	4	3.4.3
	3.4.3.5	5	3.4.3
	3.5.1.1	1	3.5.1
	3.5.1.2	2	3.5.1
	3.5.1.3	3	3.5.1
	3.5.1.4	4	3.5.1
	3.5.1.5	5	3.5.1
	3.5.1.6	6	3.5.1
	3.5.2.1	1	3.5.2
	3.5.2.2	2	3.5.2
	3.5.2.3	3	3.5.2
	3.5.2.4	4	3.5.2
	3.5.2.5	5	3.5.2
	3.5.3.1	1	3.5.3
	3.5.3.2	2	3.5.3
	3.5.3.3	3	3.5.3
	3.5.3.4	4	3.5.3
	3.5.3.5	5	3.5.3
	3.6.1.1	1	3.6.1
	3.6.1.2	2	3.6.1
	3.6.1.3	3	3.6.1
	3.6.1.4	4	3.6.1
	3.6.1.5	5	3.6.1
	3.6.2.1	1	3.6.2
	3.6.2.2	2	3.6.2
	3.6.2.3	3	3.6.2
	3.6.2.4	4	3.6.2
	3.7.1.1	1	3.7.1
	3.7.1.2	2	3.7.1
	3.7.1.3	3	3.7.1
	3.7.2.1	1	3.7.2
	3.7.2.2	2	3.7.2
	3.7.2.3	3	3.7.2
	3.7.2.4	4	3.7.2
	3.7.2.5	5	3.7.2
	3.7.3.1	1	3.7.3
	3.7.3.2	2	3.7.3
	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!
	3.7.3.3	3	3.7.3
	3.7.3.4	4	3.7.3
	3.8.1.1	1	3.8.1
	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!
	3.8.1.2	2	3.8.1
	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!
	3.8.1.3	3	3.8.1
	3.8.2.1	1	3.8.2
	3.8.2.2	2	3.8.2
	3.8.2.3	3	3.8.2
	3.8.3.1	1	3.8.3
	3.8.3.2	2	3.8.3
	3.8.3.3	3	3.8.3
	3.8.3.5	5	3.8.3
	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!	ERROR:#REF!
	3.8.4.1	1	3.8.4
	3.8.4.2	2	3.8.4
	3.8.4.3	3	3.8.4
	3.8.4.4	4	3.8.4
	3.8.4.5	5	3.8.4
	3.9.1.1	1	3.9.1
	3.9.1.2	2	3.9.1
	3.9.1.3	3	3.9.1
	3.9.1.4	4	3.9.1
	3.9.1.5	5	3.9.1
	3.9.2.1	1	3.9.2
	3.9.2.2	2	3.9.2
	3.9.2.3	3	3.9.2
	3.9.2.4	4	3.9.2
	3.9.2.5	5	3.9.2

Corrective Action Plan

		Date of Assessment	Program Assessment Corrective Action Plan	Date of Corrective Action Plan	Date of Requested
Re-assessment	Library
where new/revised Artifacts are Posted	Date of Re-Assessment

T. Foley: PM enter date this Corrective Action Plan is submitted to OCIO IAMT T. Foley: After corrective actions have been taken, PM enters the date the investment is ready for re-assessment based on completed corrective actions.

T. Foley: Enter the SharePoint Library where any new or revised artifacts are posted

Investment Name:

Project Manager:

Segment Owner:

OCIO IRT Findings

Project Manager Corrective Actions

OCIO IRT Re-Assessment

Capability Component

Criteria #

Original

IRT Score

Items of Concern

Desired Result

Measurable Evidence of Correction

Corrective Action Activities

Resources

Expected Date of Completion

Actual Date of Completion

File Names of New or Modified artifacts

Findings

Re-Assessment Score

Authorised User: Change the score in the capability component tabs to match the new score below, but do not change the narrative on the tab.

Criteria Mapping

Table Mapping

Criteria #

Score

Items of Concern

Desired Result

Measurable Evidence of Correction

Plan Needed?

Unique

Unique (scrubbed)

(Enter missing documents, incomplete documents, missing evidence of process performance, or other noted areas needing performance improvement)

(Goal(s) that address each identified area of noncompliance)

(Qualitative and/or quantitative measures to affirm correction)

(Initiatives planned to achieve correction)

If additional space is needed, please reference the name of an attached Corrective Action Plan document.

(Materials/supplies, fiscal, and personnel needed to implement activities)

(posted to SharePoint)

(Enter document file names, not generic file description)

3.1.1.1	3.1.1	3.1.1	1	No
3.1.1.2		3.1.1	2	No	ERROR:#N/A
3.1.1.3		3.1.1	3	No	ERROR:#N/A
3.1.2.1	3.1.2	3.1.2	1	No	ERROR:#N/A
3.1.2.2		3.1.2	2	No	ERROR:#N/A
3.1.2.3		3.1.2	3	No	ERROR:#N/A
3.1.2.4		3.1.2	4	No	ERROR:#N/A
3.1.3.1	3.1.3	3.1.3	1	No	ERROR:#N/A
3.1.3.2		3.1.3	2	No	ERROR:#N/A
3.1.3.3		3.1.3	3	No	ERROR:#N/A
3.1.3.4		3.1.3	4	No	ERROR:#N/A
3.1.4.1	3.1.4	3.1.4	1	No	ERROR:#N/A
3.1.4.2		3.1.4	2	No	ERROR:#N/A
3.1.4.3		3.1.4	3	No	ERROR:#N/A
3.1.4.4		3.1.4	4	No	ERROR:#N/A
3.2.1.1	3.2.1	3.2.1	1	No	ERROR:#N/A
3.2.1.2		3.2.1	2	No	ERROR:#N/A
3.2.1.3		3.2.1	3	No	ERROR:#N/A
3.2.1.4		3.2.1	4	No	ERROR:#N/A
3.2.1.5		3.2.1	5	No	ERROR:#N/A
3.2.2.1	3.2.2	3.2.2	1	No	ERROR:#N/A
3.2.2.2		3.2.2	2	No	ERROR:#N/A
3.2.2.3		3.2.2	3	No	ERROR:#N/A
3.2.2.4		3.2.2	4	No	ERROR:#N/A
3.2.2.5		3.2.2	5	No	ERROR:#N/A
3.3.1.1	3.3.1	3.3.1	1	No	ERROR:#N/A
3.3.1.2		3.3.1	2	No	ERROR:#N/A
3.3.1.3		3.3.1	3	No	ERROR:#N/A
3.3.1.4		3.3.1	4	No	ERROR:#N/A
3.3.1.5		3.3.1	5	No	ERROR:#N/A
3.3.2.1	3.3.2	3.3.2	1	No	ERROR:#N/A
3.3.2.2		3.3.2	2	No	ERROR:#N/A
3.3.2.3		3.3.2	3	No	ERROR:#N/A
3.3.2.4		3.3.2	4	No	ERROR:#N/A
3.3.2.5		3.3.2	5	No	ERROR:#N/A
3.4.1.1	3.4.1	3.4.1	1	No	ERROR:#N/A
3.4.1.2		3.4.1	2	No	ERROR:#N/A
3.4.1.3		3.4.1	3	No	ERROR:#N/A
3.4.2.1	3.4.2	3.4.2	1	No	ERROR:#N/A
3.4.2.2		3.4.2	2	No	ERROR:#N/A
3.4.2.3		3.4.2	3	No	ERROR:#N/A
3.4.2.4		3.4.2	4	No	ERROR:#N/A
3.4.2.5		3.4.2	5	No	ERROR:#N/A
3.4.3.1	3.4.3	3.4.3	1	No	ERROR:#N/A
3.4.3.2		3.4.3	2	No	ERROR:#N/A
3.4.3.3		3.4.3	3	No	ERROR:#N/A
3.4.3.4		3.4.3	4	No	ERROR:#N/A
3.4.3.5		3.4.3	5	No	ERROR:#N/A
3.5.1.1	3.5.1	3.5.1	1	No	ERROR:#N/A
3.5.1.2		3.5.1	2	No	ERROR:#N/A
3.5.1.3		3.5.1	3	No	ERROR:#N/A
3.5.1.4		3.5.1	4	No	ERROR:#N/A
3.5.1.5		3.5.1	5	No	ERROR:#N/A
3.5.1.6		3.5.1	6	No	ERROR:#N/A
3.5.2.1	3.5.2	3.5.2	1	No	ERROR:#N/A
3.5.2.2		3.5.2	2	No	ERROR:#N/A
3.5.2.3		3.5.2	3	No	ERROR:#N/A
3.5.2.4		3.5.2	4	No	ERROR:#N/A
3.5.2.5		3.5.2	5	No	ERROR:#N/A
3.5.3.1	3.5.3	3.5.3	1	No	ERROR:#N/A
3.5.3.2		3.5.3	2	No	ERROR:#N/A
3.5.3.3		3.5.3	3	No	ERROR:#N/A
3.5.3.4		3.5.3	4	No	ERROR:#N/A
3.5.3.5		3.5.3	5	No	ERROR:#N/A
3.6.1.1	3.6.1	3.6.1	1	No	ERROR:#N/A
3.6.1.2		3.6.1	2	No	ERROR:#N/A
3.6.1.3		3.6.1	3	No	ERROR:#N/A
3.6.1.4		3.6.1	4	No	ERROR:#N/A
3.6.1.5		3.6.1	5	No	ERROR:#N/A
3.6.2.1	3.6.2	3.6.2	1	No	ERROR:#N/A
3.6.2.2		3.6.2	2	No	ERROR:#N/A
3.6.2.3		3.6.2	3	No	ERROR:#N/A
3.6.2.4		3.6.2	4	No	ERROR:#N/A
3.7.1.1	3.7.1	3.7.1	1	No	ERROR:#N/A
3.7.1.2		3.7.1	2	No	ERROR:#N/A
3.7.1.3		3.7.1	3	No	ERROR:#N/A
3.7.2.1	3.7.2	3.7.2	1	No	ERROR:#N/A
3.7.2.2		3.7.2	2	No	ERROR:#N/A
3.7.2.3		3.7.2	3	No	ERROR:#N/A
3.7.2.4		3.7.2	4	No	ERROR:#N/A
3.7.2.5		3.7.2	5	No	ERROR:#N/A
3.7.3.1	3.7.3	3.7.3	1	No	ERROR:#N/A
3.7.3.2		3.7.3	2	No	ERROR:#N/A
3.7.3.3		3.7.3	3	No	ERROR:#N/A
3.7.3.4		3.7.3	4	No	ERROR:#N/A
3.8.1.1	3.8.1	3.8.1	1	No	ERROR:#N/A
3.8.1.2		3.8.1	2	No	ERROR:#N/A
3.8.1.3		3.8.1	3	No	ERROR:#N/A
3.8.2.1	3.8.2	3.8.2	1	No	ERROR:#N/A
3.8.2.2		3.8.2	2	No	ERROR:#N/A
3.8.2.3		3.8.2	3	No	ERROR:#N/A
3.8.3.1	3.8.3	3.8.3	1	No	ERROR:#N/A
3.8.3.2		3.8.3	2	No	ERROR:#N/A
3.8.3.3		3.8.3	3	No	ERROR:#N/A
3.8.3.4		3.8.3	4	No	ERROR:#N/A
3.8.3.5		3.8.3	5	No	ERROR:#N/A
3.8.4.1	3.8.4	3.8.4	1	No	ERROR:#N/A
3.8.4.2		3.8.4	2	No	ERROR:#N/A
3.8.4.3		3.8.4	3	No	ERROR:#N/A
3.8.4.4		3.8.4	4	No	ERROR:#N/A
3.8.4.5		3.8.4	5	No	ERROR:#N/A
3.9.1.1	3.9.1	3.9.1	1	No	ERROR:#N/A
3.9.1.2		3.9.1	2	No	ERROR:#N/A
3.9.1.3		3.9.1	3	No	ERROR:#N/A
3.9.1.4		3.9.1	4	No	ERROR:#N/A
3.9.1.5		3.9.1	5	No	ERROR:#N/A
3.9.2.1	3.9.2	3.9.2	1	No	ERROR:#N/A
3.9.2.2		3.9.2	2	No	ERROR:#N/A
3.9.2.3		3.9.2	3	No	ERROR:#N/A
3.9.2.4		3.9.2	4	No	ERROR:#N/A
3.9.2.5		3.9.2	5	No	ERROR:#N/A

IRT Report-CAP Re-assessment

OCIO Independent Review Team

Program Assessment

Report of Corrective Action Plan Reassessment Findings

Investment Name:
Investment Phase:
Project Manager:
PM Qualifications:
Segment Name:	Segment Owner:
IAMT Liaison:
Date of Last PIRWG approved BCR:
Date Artifacts Submitted:	Date Original Review Completed:
Timely Submission? :

(Yes/No)

		Date Re-assessment Completed:	December 31, 1899
This investment has been assessed and received an overall weighted score of:
This investment has been re-assessed and received an overall weighted score of:
A weighted score below 3 indicates that the investment performance does not meet expectations.
The PIRWG has assigned weights to each Capability Area to indicate their relative importance. The following are the scores for the Capability Areas that the PIRWG identified as the most important (greater than 15% of total score).
Reference #	Capability Area	Raw Score
3.4	Cost Management
3.7	Contract Oversight
3.8	Performance Management

	Capability Areas are composed of Capability Components. The following Capability Components have a substantive weakness (raw score less than 2):
	Reference #	Capability Component	Raw Score
0
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A
ERROR:#N/A

PM Instructions

Artifact Reference

	Supporting Artifacts	Developed During Lifecycle stage
as stated in ACS-OCIO:1-106 The LCM Framework	Planning
Component	DME
Authorised User: An "X" in this column indicates the documented is requested DME investments. Guidance is included within the parenthesis	SS
Authorised User: An "X" in this column indicates that the document is requested for SS investments. Guidance is included within the parenthesis	Mixed	Source of Requirement & References	Extract of Requirement	Exhibit 300 Section supported
(BY 2013)	E-300 extract (BY2013)	Definition	Required by 2011 PA
			All activities up to, but not including, issuance of a contract or beginning of development for a new investment or DME component	All activities up to, but not including approval to 'Go Live'	Operations and Maintenance activities only	Both DME and/or SS documentation requested
	Acquisition Plan	1-Vision Stage
core deliverable	Not requested	X
(Update for new contract solicitation)	X
(Update for new contract solicitation)	Both DME and/or SS documentation requested	- FAR 7.105

-OMB A-11 Capital Programming Guide Sec. I.5.1) Evaluate Asset Options & II.1) Validate Planning Decision

-OMB A-11 Sec 300.5 (BY2013)

-Ed Directive OCIO: 1-106-Lifecycle Management (LCM) Framework 1-Vision Stage core deliverable OMB Guidance on Exhibit 300, BY-2013 "Develop and maintain the following documents all of which may be requested by OMB and are subject to delivery within ten business days: ... Investment level Acquisition Plan;"

I.5.1 'The process of choosing the best capital asset starts with the development of a strategy to review the market and ends with the development of an acquisition plan that outlines the best approach to acquire the recommended asset."

II.1 "Formal written plans that include all of the information described in Phase I and FAR 7.105 are required for all major acquisitions."	Part A Sec. D		A formal written document reflecting the specific actions necessary to execute the approach established in the approved acquisition strategy and guiding contractual implementation.	x
	Alternatives Analysis	1-Vision	X	X
( Update when BCR-Rebaseline submitted)	X
( Update when BCR-Rebaseline submitted)	Both DME and/or SS documentation requested	-OMB A-11 Capital Programming Guide Appendix 7-Value Management & Appendix 12-Justification of Spending for New Capital Assets
-OMB Pass back for FY2009	OMB Guidance on Exhibit 300, BY-2013

Develop and maintain the following documents all of which may be requested by OMB and are subject to delivery within ten business days: Investment level Alternative Analysis;"

CAPITAL PROGRAMMING GUIDE- APPENDIX 7

Page 88 of Capital Programming Guide OMB Circular No. A–11 (Aug 2011) “Analysis of alternatives. The purpose of this analysis process is to eliminate those ideas that are technically or financially unfeasible in order to permit the selection of alternatives for further feasibility testing based on the resulting cost estimates. This element will answer the question, "What is the cost of the selected alternative?"

OMB Guidance on Exhibit sec. 300.4 (BY2013) “Alternatives Analysis refers to an analysis of alternative approaches addressing the performance objectives of an investment, performed prior to the initial decision to implement a solution, and updated periodically as appropriate to capture changes in the context for an investment decision. Alternatives analysis details should be available upon request.”

Sec C.1 "Significant changes from the previous submission should be reflected in an updated investment-level Alternatives Analysis…"	-OMB A-11 Sec.300.5 & Part A-Part I Sec. C.1 (BY2013)
T. Foley: Sec C.1 "Significant changes from the previous submission should be reflected in an updated investment-level Alternatives Analysis…"		An analysis, which considers the alternatives available for automation, such as transferring another system or enhancing an existing system. Sometimes included as part of the feasibility study.	x
	Baseline Change Request	As needed	Not requested	X
(As needed)	X
(As needed)	Both DME and/or SS documentation requested	-OMB Circ A-130 Sec. 8.b.(1).(b).(vi)

-OMB Memorandum 10-27, June 28, 2010

-10/01/10 Guide to Monthly Updates to the 2012 Business Case for the OMB IT Dashboard

	M 10-27 Appendix A - "... requested adjustments to an existing investment baseline (i.e. “rebaselining”) should only be made if the program manager can demonstrate a high probability of success and a benefit-cost result that justifies continued funding after comparison with the other alternatives in the portfolio and budget limitations."
	-OMB Circ A-130 Sec. 8.b.(1).(b).(vi)		A formal requested change to the Performance Measurement Baseline. An approved integrated scope-schedule-cost plan for the project work against which project execution is compared to measure and manage performance. Technical and quality parameters may also be included.	x
	Benefit Cost Analysis		X	X
(Update when BCR-Rebaseline submitted)	X
(Update when BCR-Rebaseline submitted)	Both DME and/or SS documentation requested	-OMB A-11 Capital Programming Guide Sec. I.5.3) Select the Best Alternative: Benefit-Cost Analysis & Appendix 6-Principals of Budgeting for Capital Asset Acquisitions

-OMB Circular A–94

T. Foley: Sec. I.5.3 "Once the IPT determines that it has sufficient market information on alternative solutions, it should compare the initial acquisition cost and the other life-cycle cost elements of the various alternatives. It is critical that the cost estimates are realistic estimates of the final costs and are adjusted to consider risk." Capital programming Guide Sec. I.5.3 "Once the IPT determines that it has sufficient market information on alternative solutions, it should compare the initial acquisition cost and the other life-cycle cost elements of the various alternatives. It is critical that the cost estimates are realistic estimates of the final costs and are adjusted to consider risk."

(IPT refers to Integrated Project Team. See Capital Programming Guide Sec. I.2.1)

Exhibit 300 Sec C.1 "Significant changes from the previous submission should be reflected in an updated investment-level Alternatives Analysis…"	-OMB Guidance on Exhibit 300 Part A-Part I Sec. C.1 (BY2013)
T. Foley: Sec C.1 "Significant changes from the previous submission should be reflected in an updated investment-level Alternatives Analysis…"		A document comparing the initial acquisition cost and the other life-cycle cost elements of the various

alternatives. OMB guidance on benefit-cost analysis can be found in OMB Circular A–94.

	Business Case	1-Vision
Core deliverable	X	X
(Update with new data as needed)	X
(Update with new data as needed)	Both DME and/or SS documentation requested	OMB A-11 Capital Programming Guide
		Exhibit 300 Part A Sec A & B (BY2013)		A structured method for organizing and presenting a business improvement proposal. Organizational decision makers compare business cases when they are deciding to expend resources. A business case typically includes an analysis of business process performance and associated needs or problems, proposed alternative solutions, assumptions, constraints, and a risk-adjusted cost/benefit analysis.	x
	Change Log		Not requested	X	X	Both DME and/or SS documentation requested	Implementation of the BCR process	The document detailing the status of formally approved changes to project scope, policies, processes, plans, procedures, costs, or schedules for the investment.
	Contractor Performance Report		Not requested	X	X	Both DME and/or SS documentation requested	FAR
		Exhibit 300 Part A Sec. D supported (BY2013)		A contractually required report, prepared by the contractor, containing performance information derived from the internal EVMS. The report provides status of progress on the contract.
	Contract Statement of Work		Not requested	X	X	Both DME and/or SS documentation requested	FAR
		Exhibit 300 Part A Sec. D supported (BY2013)		A narrative description of products, services, or results to be supplied under a contract.	x
	Corrective Action Plan		Not requested	X	X	Both DME and/or SS documentation requested	-Ed - IT Investment Management Process Guide, Dec. 2009, Chapter V.-Control Phase
-Ed - IT Program Assessment Guide v.3, Sec. 5.13				The document that provides direction for executing the project work to bring expected future performance of the project work in line with the project management plan.	x
	Documented Earned Value Management System Certification		Not requested	X	Not requested	DME documentation requested	OMB A-11 Capital Programming Guide Sec. II.2.4-Establishing an Earned Value Management System	The process to determine that the proposed EVM System being used for a specific investment fully complies with the ANSI 748-A-1998 standard.
	Earned Value Management System Description Document		Not requested	X	Not requested	DME documentation requested	OMB A-11 Capital Programming Guide Sec. I.5.5.- Earned Value Management & Sec. II.2.4 Establishing an Earned Value Management System & Appendix 3 Example of Earned Value Concept and Schedule Variance for Capital Assets

- FAR Part 34 T. Foley: I.5.5.4 - EVMS is normally used on Fixed- Price Incentive contracts and Cost Reimbursement contracts for major acquisitions. EVM shall also be used on Firm-Fixed Price and any other type of contract or task order that meets the major acquisition threshold if that contract or task order contains a significant amount of development effort.

Authorised User: An "X" in this column indicates the documented is requested DME investments. Guidance is included within the parenthesis Authorised User: An "X" in this column indicates that the document is requested for SS investments. Guidance is included within the parenthesis I.5.5.4 - All major acquisitions with development effort will include the requirement for the contractor to use an Earned Value Management System (EVMS) that meets the guidelines in ANSI/EIA Standard—748 to monitor contract performance. The document outlining a contractor’s earned value management system.

Earned Value Management System: the management system and related sub-systems that establish the relationship between the cost, schedule, and technical aspects of the work; measures progress objectively with earned value metrics; accumulates actual costs; allows for analysis of deviations from plans; allows for forecasting achievement of milestones and contract events; allows for forecasting of estimated costs; and provides discipline in incorporating changes to the baseline in a timely manner.

Earned Value Management Report	Not requested	X	Not requested	DME documentation requested	-OMB A-11 Capital Programming Guide Sec. I.5.5.1- Earned Value Management
OMB Guidance on Exhibit 300, BY-2013

"Develop and maintain the following documents all of which may be requested by OMB and are subject to delivery within ten business days: ... Earned Value Reports on large projects;"

	-OMB A-11 Sec.300.5 (BY2013)		The documented results of the earned value measures, analysis, and results deriving from the periodic application of the earned value management processes.	x
	Independent Cost Estimate Report	1-Vision
key component	X	X	X	Both DME and/or SS documentation requested	OCIO Directive ACS-OCIO-1-106-LCM Framework	ACS-OCIO-106
The IGCE is listed as a key component of the core deliverable acquisition documents required in the Vision Stage.			This estimate is based on the same scope as the LCC, except that it is prepared by an independent review team using independent data sources and cost estimating approaches.	x
	Inter-Agency Agreement (IAA)		Not requested	X	X
(Update as needed)	Both DME and/or SS documentation requested	FAR Subpart 17.5				An Interagency Agreement (IA) is an agreement between two agencies to jointly fund and implement an IT investment	x
	Life Cycle Cost Estimate (LCCE)		X	X	X
(Update when BCR-Rebaseline submitted)	Both DME and/or SS documentation requested	OMB A-11 Capital Programming Guide Sec. I.5.3) Select the Best Alternative: Benefit-Cost Analysis & Appendix 6-Principals of Budgeting for Capital Asset Acquisitions
	Capital Programming Guide OMB Circular No. A–11, Sec. I.5.3, Page 17

“Once the IPT determines that it has sufficient market information on alternative solutions, it should compare the initial acquisition cost and the other life-cycle cost elements of the various alternatives. It is critical that the cost estimates are realistic estimates of the final costs and are adjusted to consider risk.”

I.5.3-2 (p. 18) “…Benefits and costs should be estimated over the full life-cycle of each alternative considered….”

Capital Programming Guide OMB Circular No. A–11, Appendix 6 p.83 “The justification of the investment should evaluate and discuss the extent to which the investment meets the above criteria and should also include: An analysis of the investment's total life-cycle costs and benefits,…)”

OMB A-11 Guidance on Exhibit 300A, sec. C (BY2013)

See funding table and questions in C.2	Exhibit 300A, sec. C (BY2013)	This estimate provides the total cost to the Government of acquisition and ownership of the system over its full life time. It includes the cost of development, acquisition, support, and (where applicable) disposal.	x
	Operational Analysis Plan (OAP)	Not requested	Not requested	X
(Only if plan exists. OA planning requirements may be included in PMP or other documentation.)	SS component
(Documentation requested if plan exists. OA planning requirements may be included in PMP or other documentation.)	- OMB A-11 Capital Programming Guide Sec. III.3-Operational Analysis Process and Outcome

- Ed Operational Analysis Guide, May 2011 T. Foley: Sec III.3 "This plan will continuously be reviewed and updated as future

operational analyses will be conducted yearly or an as-needed basis."	Sec III.3 "This plan will continuously be reviewed and updated as future operational analyses will be conducted yearly or an as-needed basis."	Exhibit 300 Part A Sec. C & B.6 supported (BY2013)		The document defining the metrics (Service Level Agreements (SLAs) to measure and monitor performance of project operations and spending for projects that have entered the Operations and Maintenance (O&M) cycle. Mixed Life cycle projects need to do both EVM for new development (DME) and OAP for O&M.	x
	Operational Analysis Report		Not requested	Not requested	X	Both DME and/or SS documentation requested	- OMB A-11 Capital Programming Guide Sec. III.3) Operational Analysis Process and Outcome

- ITIM Process Guide Sec. II-3 and IV

- Ed Operational Analysis Guide, May 2011 T. Foley: Sec. III.3 "...operational analyses will be conducted yearly or an as-needed basis."

T. Foley: Sec C.1 "Significant changes from the previous submission should be reflected in an updated investment-level Alternatives Analysis…" T. Foley: Sec. I.5.3 "Once the IPT determines that it has sufficient market information on alternative solutions, it should compare the initial acquisition cost and the other life-cycle cost elements of the various alternatives. It is critical that the cost estimates are realistic estimates of the final costs and are adjusted to consider risk."

T. Foley: Sec C.1 "Significant changes from the previous submission should be reflected in an updated investment-level Alternatives Analysis…" Sec. III.3 "...operational analyses will be conducted yearly or an as-needed basis."

ITIM Process Guide Sec. II-3 "Additional IPT roles and responsibilities include: . . .

- Participating in the post implementation review and conducting the Operational Analysis."

(IPT refers to Integrated Project Team. See Capital Programming Guide Sec. I.2.1))

	The document describing the results of the analysis of an investment in accordance with the organization’s Operational Analysis Plan.	x
Post Implementation Review	Not requested	Not requested	SS	Both DME and/or SS documentation requested	-OMB A-11 Capital Programming Guide Sec. III.3.3

-Ed Post Implementation Review Guide Feb. 4, 2011 http://connected/doc_img/pirguidance.pdf III.3.3 - Post Implementation Review and Post-Occupancy Evaluation Page 59 "The primary objectives of a PIR/POE are:

- To identify how accurately a capital investment project meets the objectives, expected benefits and the strategic goals of the Agency;

- To ensure continual improvement of an agency's capital programming process based on lessons learned; and,

- to minimize the risk of repeating past mistakes by providing quality services to business partners and customers." Post Implementation Review (PIR) is a diagnostic tool to evaluate the overall effectiveness of the agency's capital planning and acquisition process.

	Plan of Action and Milestones (POAM)		Not requested	X	X	Both DME and/or SS documentation requested	Federal Information Security Management Act (FISMA)	A plan of action with milestones addresses all weaknesses identified by program reviews and evaluations.	x
	Program Budget		Planning	X	X	Both DME and/or SS documentation requested	OMB A-11
		Exhibit 300 Part A Sec. C supported (BY2013)		The approved estimate for the program or any work breakdown structure component or any schedule activity.	x
	Privacy Impact Assessment	2-Definition
core deliverable	Not requested	Not requested	X
	SS documentation requested	-Privacy Act

http://www.whitehouse.gov/omb/memoranda_m03-22

-DoEd directive: acs_OM:6-104, Sec. VI-E and Sec. VII	ED's Privacy Safeguard Division e-mail at: privacysafeguards@ed.gov or Service Line at 202-401-1269.			An analysis of how information is handled: (i) to ensure handling conforms to applicable legal, regulatory, and policy requirements regarding privacy, (ii) to determine the risks and effects of collecting, maintaining and disseminating information in identifiable form in an electronic information system, and (iii) to examine and evaluate protections and alternative processes for handling information to mitigate potential privacy risks.	x
	Privacy Threshold Analysis	2-Definition
core deliverable	Not requested	X	X	Both DME and/or SS documentation requested	Ed CIO Requirement	The PTA form is located at:

http://connected/index.cfm?cid=be9ae700-b2b4-e2e1-fcbe-b2d9beb90b93 The Privacy Safeguard Division maintains copies of completed PTAs.

(privacysafeguards@ed.gov or Service Line at 202-401-1269)

			An documented initial assessment of the investment that results in a definitive statement as to whether or not the investment will collect or contain information protected by the Privacy Act.	x
	Program Schedule		X	X	X	Both DME and/or SS documentation requested	OMB A-11 Capital Programming Guide Sec. I.2		The aggregated planned dates across projects for performing project activities and the planned dates for meeting project milestones.	x
	Progress Report		Not requested	X	Not requested	DME documentation requested	Information in this document required to populate Exhibit 300 Part B table B.2 (BY2013)	Exhibit 300 Part B table B.2 supported (BY2013)	A report made by the PM to the Principal Office in accordance with the PM responsibilities identified in ED IT Investment Management Process Guide
	Project Management Plan	2-Definition
core deliverable	Not requested	X	X
(Update as needed)	Both DME and/or SS documentation requested	Ed Directive OCIO: 1-106-Lifecycle Management (LCM) Framework, Table 5				A formal, approved document that defines how the projected is executed, monitored and controlled. It may be summary or detailed and may be composed of one or more subsidiary management plans and other planning documents.	x
	Project Management Plan Approval		Not requested	X	X	Both DME and/or SS documentation requested	Ed Directive OCIO: 1-106-Lifecycle Management (LCM) Framework		Documented approval by a government official at a level higher than the person responsible for executing the plan.
	Project Schedule		X	X	X	Both DME and/or SS documentation requested	OMB A-11 Capital Programming Guide Sec. I.2.1	Part B Table B.1
Part B Table B.2		The planned dates for performing schedule activities and the planned dates for meeting schedule milestones.	x
	Quality Assurance Report		Not requested	X	X	Both DME and/or SS documentation requested	Implementation of the quality management/assurance plan		The documented results of a quality audit.

Quality Audit: A systematic examination of the acts and decisions with respects to quality in order to independently verify or evaluate the operational requirements of the quality program or the specification or contract requirements for a product or service.	x
	Quality Management Plan

1-Vision stage key component

2-Definition stage

key component	Not requested	X	SS
(Update as needed)	Both DME and/or SS documentation requested	Ed Directive OCIO: 1-106-Lifecycle Management (LCM) Framework

(Quality Assurance Surveillance Plan-Vision stage)

(Quality Assurance Plan-Definition stage)				The quality management plan describes how the project management team will implement the performing organization’s quality policy. The quality management plan is a component or a subsidiary plan of the project management plan. The quality management plan may be formal or informal, highly detailed, or broadly framed, based on the requirements of the project.	x
	Requirements Specification	2-Definition
core deliverable	X
(High level requirements)	X	Not requested	DME documentation requested	-OMB A-11 Capital Programming Guide Sec. I.3) Functional Requirements
-Ed Directive OCIO: 1-106-Lifecycle Management (LCM) Framework, Table 7	-Ed Directive OCIO: 1-106
" Requirements documentation consists of all the detailed requirements associated with the solution. The requirements documentation will identify and validate the business, technical, security and solution requirements."			A document used in development and procurement that describes the functional and technical requirements for items, materials, and services including the procedures by which they it will be determined that the requirements have been met.	x
	Requirements Session Minutes		Not requested	X	Not requested	DME documentation requested	Not required - this is a best practices suggested document as it can lend additional support to meeting the Program Assessment criteria	Implementation of Requirements Specification		The document describing the agenda, participants, deliberations, decisions, and action items derived from requirements gathering meetings.
	Requirements Specification Approval		Not requested	X	Not requested	DME documentation requested	This document is requested by OCIO to show that the specifications have been approved	Implementation of Requirements Specification		Documented approval by a government official at a level higher than the person responsible for preparing the requirement specifications.
	Requirements Traceability Matrix		Not requested	X	Not requested	DME documentation requested	Implementation of Requirements Specification	Implementation of Requirements Specification		The tabular representation of an association between a requirement and its source requirement, its implementation, and its verification.	x
	Risk Log		Not requested	X	X	Both DME and/or SS documentation requested	-OMB A-11 Capital Programming Guide Appendix 5-Risk Management	Implementation of Risk Management Plan	Part B Sec. B, Table B.3 & Table C.2	The document containing the results of the qualitative risk assessment, quantitative risk assessment, and risk response planning. The risk log details all identified risks, including description, category, cause, probability of occurring, impact(s) on objectives, proposed responses, owners, and current status. The risk log is a component of the project management plan.	x
	Risk Assessment		Planning	X	X	Both DME and/or SS documentation requested	-OMB A-11 Capital Programming Guide Appendix 5-Risk Management	Implementation of Risk Management Plan	Part B Sec. B, Table B.3 & Table C.2	The problem definition stage of risk management that identifies and analyzes potential program risk events in terms of probability and consequences/ impacts.	x
	Risk Management Plan		Not requested	X	X
(Update for operations & maintenance)	Both DME and/or SS documentation requested	-OMB A-11 Capital Programming Guide Appendix 5-Risk Management & Appendix 12-Justification of Spending for New Capital Assets

-OMB A-11 Sec.300.5 (BY2013) OMB Guidance on Exhibit 300, BY-2013 "Develop and maintain the following documents all of which may be requested by OMB and are subject to delivery within ten business days: ... Risk Management Plan"

Appx 5 - "Projects should develop a Risk Management Plan that:

- Establishes the purpose, objective, and goals of the project;

- Assigns responsibility for specific areas;

- Describes how risks will be assessed;

- Defines the risk rating approach;

- Establishes monitoring metrics;

- Defines how risk will be monitored throughout the project life-cycle; and

- Assesses risk."	Part B Sec. B, Table B.3 & Table C.2		The document describing how project risk management will be structured and performed on the project. It is contained in or is a subsidiary plan of the project management plan. The risk management plan can be informal and broadly framed, or formal and highly detailed, based on the needs of the project. Information in the risk management plan varies by application area and project size.	x
	Risk Measurement		Not requested	X	X	Both DME and/or SS documentation requested	-OMB A-11 Capital Programming Guide Appendix 5-Risk Management	Implementation of Risk Management Plan	Part B Sec. B, Table B.3 & Table C.2	The estimated probability and severity of a risk as represented in the investment’s risk log.
	Risk Report		Not requested	X	X	Both DME and/or SS documentation requested	-OMB A-11 Capital Programming Guide Appendix 5-Risk Management	Implementation of Risk Management Plan	Part B Sec. B, Table B.3 & Table C.2		x
	Risk Response Plan		Not requested	X	X	Both DME and/or SS documentation requested	-OMB A-11 Capital Programming Guide Appendix 5-Risk Management	Implementation of Risk Management Plan	Part B Sec. B, Table B.3 & Table C.2	The document describing options and actions to enhance opportunities and to reduce threats to project objectives.
	Scope Change Request		Not requested	X
(As needed)	X
(As needed)	Both DME and/or SS documentation requested	OMB Memorandum 10-27, June 28, 2010				The formal, documented request to alter project scope. The sum of the products and services to be provided as a project.	x
	Scope Management Plan		Not requested	X	X	Both DME and/or SS documentation requested	OMB Memorandum 10-27, June 28, 2010			The document that describes how the project scope will be defined, developed, and verified and how the work breakdown structure will be created and defined, and that provides guidance on how the project scope will be managed and controlled by the project management team. It is contained in or is a subsidiary plan of the project management plan. The project scope management plan can be informal and broadly framed, or formal and highly detailed, based on the needs of the project.	x
	Security Certification-on file with OCIO IA		Not requested	Not requested	X	SS documentation requested	Federal Information Security Management Act (FISMA)			A comprehensive assessment of the management, operational, and technical security controls in an information system, made in support of security accreditation, to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security requirements for the system.	x
	Security Plan-on file with OCIO IA	2-Definition
core deliverable	Not requested	X	X
(update as needed)	Both DME and/or SS documentation requested	Federal Information Security Management Act (FISMA)				A plan that demonstrates that IT projects include security controls for components, applications, and systems that are consistent with the agency's Enterprise Architecture.
	Stakeholder Interview		X	X	X	Both DME and/or SS documentation requested	Not required - this is a best practices suggested document as it can lend additional support to meeting the Program Assessment criteria			The document describing the subject matter, setting, participant identification, questions and answers derived from a conversation with a project or program stakeholder.
	System of Record Notice (URL)		Not requested	Not requested	X	SS documentation requested	http://www.whitehouse.gov/omb/memoranda_m99-05-b

- ED SORN Policy:

http://www2.ed.gov/policy/gen/leg/sorn.html "The Act defines "system of records" as any group of records under the Department's control from which information is retrieved by a personal identifier such as a person’s name or Social Security number.

All Federal agencies are required to publish in the Federal Register each system of records when the system is established or changed."

The Department maintains a compilation of system of records notices (SORNs) in an index of SORNs at: http://www2.ed.gov/policy/gen/leg/sorn.html

The internet URL leading to the Federal Register Notice publishing the privacy System of Record Notice if this investment contains information on individuals protected by the Privacy act of 1974.

This is the start of the file's text. The full file is on GovTribe.

File details come from the government source that posted it. Updated Nov 14, 2017.