Business Case Template - CMS



For instructions on using this template, please see Notes to Author/Template Instructions on page PAGEREF NotesToAuthor \h 20. Notes on accessibility: This template has been tested and is best accessible with JAWS 11.0 or higher. For questions about using this template, please contact CMS IT Governance. To request changes to the template, please submit an XLC Process Change Request (CR).Centers for Medicare & Medicaid ServicesCMS eXpedited Life Cycle (XLC)<Project Name / Acronym>Business CaseVersion X.XMM/DD/YYYYDocument Number: <document’s configuration item control number>Contract Number: <current contract number of company maintaining document> Table of Contents TOC \o "1-3" \h \z \t "Back Matter Heading,1" Table of Contents PAGEREF _Toc437435013 \h iiList of Figures PAGEREF _Toc437435014 \h iiiList of Tables PAGEREF _Toc437435015 \h iii1.Executive Summary PAGEREF _Toc437435016 \h 12.General Project Information PAGEREF _Toc437435017 \h 23.Project Description PAGEREF _Toc437435018 \h 23.1Business Need PAGEREF _Toc437435019 \h 23.2Goals/Scope PAGEREF _Toc437435020 \h 23.3Stakeholders PAGEREF _Toc437435021 \h 23.4Cloud Services PAGEREF _Toc437435022 \h 23.5Risks/Issues PAGEREF _Toc437435023 \h 24.Performance Measures PAGEREF _Toc437435024 \h 34.1Alignment to CMS Strategic Action Plan PAGEREF _Toc437435025 \h 34.2Performance Reference Model PAGEREF _Toc437435026 \h 35.High-Level Business Impact PAGEREF _Toc437435027 \h 46.Alternatives and Analysis PAGEREF _Toc437435028 \h 46.1Alternative A PAGEREF _Toc437435029 \h 56.2Alternative B PAGEREF _Toc437435030 \h 66.3Alternative C PAGEREF _Toc437435031 \h 66.4Alternative D PAGEREF _Toc437435032 \h 67.Preferred Solution PAGEREF _Toc437435033 \h 67.1Financial Considerations PAGEREF _Toc437435034 \h 67.2Preliminary Acquisition Strategy/Plan PAGEREF _Toc437435035 \h 67.3Preliminary Work Breakdown Structure PAGEREF _Toc437435036 \h 67.4Assumptions and Constraints PAGEREF _Toc437435037 \h 6Appendix A:FEA Reference Model PAGEREF _Toc437435038 \h 7Appendix B:Record of Changes PAGEREF _Toc437435039 \h 17Appendix C:Acronyms PAGEREF _Toc437435040 \h 18Appendix D:Glossary PAGEREF _Toc437435041 \h 19Appendix E:Referenced Documents PAGEREF _Toc437435042 \h 20Appendix F:Approvals PAGEREF _Toc437435043 \h 21Appendix G:Notes to the Author / Template Instructions PAGEREF _Toc437435044 \h 22Appendix H:XLC Template Revision History PAGEREF _Toc437435045 \h 23Appendix I:Additional Appendices PAGEREF _Toc437435046 \h 24List of Figures TOC \h \z \t "FigureCaption,1,fc,1" \c "Figure" No table of figures entries found.List of Tables TOC \h \z \c "Table" Table 1: Project Information PAGEREF _Toc437251555 \h 2Table 2: Performance Goals and Measures PAGEREF _Toc437251556 \h 2Table 3: Alternatives Analysis Example PAGEREF _Toc437251557 \h 3Table 4: FEA Reference Model PAGEREF _Toc437251558 \h 5Table 5: Record of Changes PAGEREF _Toc437251559 \h 15Table 6: Acronyms PAGEREF _Toc437251560 \h 16Table 7: Glossary PAGEREF _Toc437251561 \h 17Table 8: Referenced Documents PAGEREF _Toc437251562 \h 18Table 9: XLC Template Revision History PAGEREF _Toc437251563 \h 21Executive SummaryInstructions: Provide a synopsis of the key points of this Business Case document. Outline for the reader what the investment/project (hereafter referred to as “project”) is about, what benefits it will provide, how it aligns with the goals and objectives of the organization, etc. Avoid ambiguous acronyms, terminology, concepts, etc.This Business Case assists CMS stakeholders in making decisions regarding the viability of a proposed investment in the STYLEREF ProjectName \* MERGEFORMAT <Project Name / Acronym>.General Project InformationTable 1: Project InformationProject NameEnter a name for the proposed projectRequested ByEnter full nameBusiness OwnerEnter Business Owner/Manager supporting this documentContact Info.Enter email address and phone number of primary contactDesired Start DateEnter a desired start date for the requested projectProject DescriptionBusiness NeedInstructions: Provide a detailed explanation of the business need/issue/problem that the requested project will address, including any legislative mandates, regulations, etc. Include any expected benefits from the investment of organizational resources into the project. Please be sure to indicate clearly relevant deadlines (e.g., statutory deadlines that CMS must meet).Goals/ScopeInstructions: Enter a detailed description of the purpose, goals, and scope of the proposed project. Detail expected short-term, long-term, and operational goals and objectives.Enter a detailed explanation of how the proposed project aligns with, or advances, organizational goals and objectives, and avoids duplication of any enterprise architecture components.StakeholdersInstructions: Identify the entities, components, and people that have an interest or influence on the project or will be impacted by its outcome.Cloud ServicesInstructions: Indicate whether you are planning to use cloud services now or in the future.Risks/IssuesInstructions: Enter basic business and technical risks/issues of executing and/or not executing the project. OMB risk areas include: schedule, initial costs, life cycle costs, technical obsolescence, feasibility, reliability of systems, dependencies/interoperability, surety considerations, future procurements, project management, overall project failure, organizational/change management, business, data/information, technology, strategic, security, privacy, project resources.Performance MeasuresInstructions: Develop a set of performance measures for the investment that align to the Agency’s mission and describe associated performance measures (indicators). The measures are the internal and external performance benefits this investment is expected to deliver to the Agency (e.g., improve efficiency by 60 percent). The goals must be clearly measurable investment outcomes, and if applicable, investment outputs.Alignment to CMS Strategic Action PlanInstructions: Include text here to describe how the investment aligns to the CMS Strategic Action Plan. For example, “This investment supports the strategic action plan objectives of Accurate and Predictable payments by: (1) xxxx and (2) yyyy.”Performance Reference ModelInstructions: Provide Performance Goals and Measures that will be used to assess the degree of success for this project. The Measurement Area, Measurement Category and Measurement Indicator should be based upon the Federal Enterprise Architecture (FEA) Performance Reference Model (PRM), more information for which can be found within the FEA Consolidated Reference Model (CRM) document located here: Please reference Appendix A as an aid to help establish and document performance goals and measures.Note: There may be multiple measurement categories, measurement groups, and/or indicators for each measurement area. You may provide a separate spreadsheet containing this information, if desired.Measurement Area The high-level organizing framework of the PRM capturing aspects of performance at the output levels. This layer is directly linked to the performance objectives established at the agency and program levels.Measurement CategoryCollections within each measurement area describing the attribute or characteristic to be measured.Measurement GroupFurther refinement of categories into specific types of measurement indicators. For the Mission and Business Results measurement Area, these groupings align to the Sub-functions of the BRM. Measurement IndicatorA defined indicator that provides a way to measure performance. Note: Project teams should define measurement indicators based on the stated business need.TargetThe parameters that comprise the Measurement Indicator that may be documented as a performance requirement or derived from a high-level requirement.Surveillance MethodIndicate how this measurement will be recorded.Table 2: Performance Goals and MeasuresMeasurement AreaMeasurement CategoryMeasurement GroupMeasurement IndicatorTargetSurveillance MethodFiscal Year for Anticipated BenefitMission and Business ResultsCustomer ResultsProcess and ActivitiesTechnologyHigh-Level Business ImpactInstructions: Outline, at a high-level, what business functions/processes may be impacted, and how, by the project for it to be successfully implemented. Describe plans for addressing ongoing operations, future growth, and how this will be addressed and managed. Consider not only the requirements for additional hardware, software, building materials, and space but also where financial funding for these things will come from, additional resource requirements, staffing, training, other expenditures, etc. Also describe how investment performance will be measured. Identify specific performance indicators that may be used to measure investment outcomes and its progress in addressing the particular business need.Alternatives and AnalysisInstructions: The Alternatives and Analysis section should identify options and alternatives to the proposed project and the strategy used to identify and define them. Further analysis of these potential options should be performed to identify a preferred solution. Include a description of the approaches for the identification of alternatives and an outline/description of each alternative considered. Include at least three viable alternatives: keeping things “as-is” or reuse existing people, equipment, or processes; and at least two additional alternatives. Identify one as the preferred solution.Some examples of alternatives to consider may include:Buy vs. build vs. lease vs. reuse of existing systemOutsource vs. in-house developmentCommercial off the shelf (COTS) vs. Government off the shelf (GOTS)Mainframe vs. server-based vs. clusteringUnix vs. Linux vs. WindowsOne approach to presenting the alternatives analysis is illustrated in REF _Ref303782582 \h Error! Reference source not found. on page PAGEREF _Ref303782582 \h Error! Bookmark not defined.. The content of such a section may vary between projects based on the type of alternatives being analyzed and the approach taken.Alternative AInstructions: Include a detailed alternative analysis that contains information such as:Cost/benefit analysisInitial and ongoing costsPayback periodReturn on investment (ROI)Other financial considerationSecurity considerationsEtc.Table 3: Alternatives Analysis ExampleAlternative AnalysisInitial InvestmentYear 1Year 2Year 3Year 4Year 5Cost of Alternative (A)($1,000,000)($1,250,000)($750,000)($500,000)($250,000)($250,000)Organizational Cost Savings$0$250,000$500,000$750,000$1,000,000$1,000,000Stakeholder Benefit$0$100,000$200,000$300,000$400,000$500,000Net Benefit($1,000,000)($900,000)($50,000)$550,000$1,150,000$1,250,000Discount Rate5.00%Payback Period (years)4.20Net Present Value $498,132Internal Rate of Return12%Total Return on Investment180.00%Alternative BInstructions: Include a detailed alternative analysis that contains information such as that outlined in Alternative AAlternative CInstructions: Include a detailed alternative analysis that contains information such as that outlined in Alternative AAlternative DInstructions: Include a detailed alternative analysis that contains information such as that outlined in Alternative APreferred SolutionFinancial ConsiderationsInstructions: Identify funding sources for all project component costs for the preferred solution. This should include consideration of items such as capital costs, operating costs, total cost of ownership, impact on other projects, funding requirements, etc.Preliminary Acquisition Strategy/PlanInstructions: Identify acquisition sources for the preferred solution that includes all project supplies, services, and commercial items. Preliminary Work Breakdown StructureInstructions: Include a Work Breakdown Structure (WBS) for the preferred solution. The WBS organizes and defines 100% of the scope of project work to be accomplished and displays it in a way that relates work elements to each other and to the project’s goals.Assumptions and ConstraintsInstructions: Include a detailed explanation of any assumptions and/or constraints applied to the information documented within this business case.FEA Reference ModelInstructions: This is a temporary appendix to delete before finalizing the Business Case. The intent of the table below is to support identification of performance measures required in Section REF _Ref303179944 \w \p \h \* MERGEFORMAT 4.2 above (Performance Reference Model). Use this appendix to identify the relevant measurement areas, categories, and groupings for the investment and document them in the table in Section REF _Ref303180685 \n \h \* MERGEFORMAT 4.2.Table 4: FEA Reference ModelMeasurement AreaMeasurement CategoryMeasurement GroupingMeasurement TypesMission and Business ResultsServices for CitizensHealthAccess to CarePopulation Health Management and Consumer SafetyHealth Care AdministrationHealth Care Delivery ServicesHealthcare Research and Practitioner EducationSupport Delivery of Services Controls and OversightCorrective ActionProgram EvaluationProgram MonitoringRegulatory DevelopmentPolicy and Guidance DevelopmentPublic Comment TrackingRegulatory CreationRule PublicationInternal Risk Management and MitigationContingency PlanningContinuity of OperationsService RecoveryPublic AffairsCustomer ServicesOffice Information DisseminationProduct Outreach Public RelationsPlanning and BudgetingBudget FormulationCapital PlanningEnterprise ArchitectureStrategic PlanningBudget ExecutionWorkforce PlanningManagement ImprovementBudget and Performance IntegrationTax and Fiscal PolicyLegislative RelationsLegislation TrackingLegislation TestimonyProposal DevelopmentCongressional Liaison OperationsManagement of Government ResourcesHuman Resource ManagementHR StrategyStaff AcquisitionOrganization and Position ManagementCompensation ManagementBenefits ManagementEmployee Performance Management Employee RelationsLabor RelationsSeparation ManagementHuman Resources DevelopmentAdministrative ManagementFacilities, Fleet, & Equipment ManagementHelp Desk ServicesSecurity Management TravelWorkplace Policy Development & ManagementFinancial ManagementAccountingFunds ControlPaymentsCollections & ReceivablesAsset & Liability ManagementReporting & InformationCost Accounting / Performance MeasurementInformation & Technology ManagementSystems DevelopmentLifecycle/Change ManagementSystem MaintenanceIT Infrastructure MaintenanceInformation SecurityRecord RetentionInformation ManagementInformation SharingSystem and Network MonitoringCustomer ResultsCustomer BenefitCustomer SatisfactionCustomer Feedback AnalysisCustomer Satisfaction DocumentationHelp Desk ServicesMulti-Lingual SupportCustomer RetentionTurnover ratesRetention FactorsFeedback AnalysisCustomer ComplaintsComplaint Policies and ProcessesHelp Desk Retention FactorsFollow upsCustomer Relations PoliciesCustomer OutreachCustomer Impact or BurdenCustomer ServiceBusiness ProcessesCustomer FeedbackSystem RecoveryData ManagementCustomer TrainingOnline HelpOnline TutorialsSelf-ServiceService CoverageNew Customer and Market PenetrationReservations/RegistrationMarket AnalysisCustomer FeedbackFrequency and DepthCustomer AnalyticsSales and MarketingSurveysService EfficiencyCustomer RelationsCustomer FeedbackService Level AgreementsAction PlansTimeliness and ResponsivenessResponse TimeSchedulingAlerts and NotificationsFollow upsSystem EfficiencyDelivery TimeSystem EfficiencyCustomer AnalyticsService Level AgreementContractor RelationsSchedulingService QualityAccuracy of Service or Product DeliveredData ManagementQuality ManagementSystem ManagementApplication ManagementService AccessibilityAccessService Level AgreementsBusiness PolicyNetwork ManagementCommunications ChannelsThreaded DiscussionsService AvailabilityService Level AgreementsSupport AgreementsCustomer RequirementsSchedulingAutomationSystem EfficiencyCustomer AnalyticsService Level AgreementContractor RelationsIntegrationData ManagementQuality ManagementSystem ManagementApplication ManagementProcess and ActivitiesFinancialFinancial ManagementAccountingFunds ControlPaymentsCollections & ReceivablesAsset & Liability ManagementReporting & InformationCost Accounting / Performance MeasurementInternal ControlsCostsAccountingFunds ControlPaymentsBudgetsContractingPlanningMission System RequirementsAcquisition StrategyProject ScheduleRisk ManagementSystem MaintenanceSavings and Cost AvoidanceAlternatives IdentificationEconomies of ScaleCost Benefit AnalysisProject SchedulingProductivityProductivityProcess TrackingCase ManagementData ExchangeNetwork ManagementInfrastructureEfficiencyGovernance / Policy ManagementStrategic PlanningPerformance ManagementLoading and ArchivingPersonnel TrainingCycle Time and TimelinessCycle TimeSchedule ManagementBusiness ProcessesCustomer RelationsService Level AgreementsTimeliness Time ReportingProblem ManagementCase ManagementData Management and RecoveryBusiness LogicDatabase ConnectivityReporting and AnalysisQualityErrorsQuality MeasuresPerformance ManagementRisk ManagementProblem ManagementComplaintsCase ManagementService Level AgreementsCustomer RelationsCommunications StandardsSupport ServicesSecurity and PrivacySecurityHIPAA RulesData ManagementIssues ManagementSupporting Security ServicesConfiguration ManagementIdentification and AuthenticationCryptographyPrivacyHIPAA AwarenessCMS PoliciesData WarehouseCertificates/ Digital SignaturesManagement and InnovationParticipationBenefit ManagementLicense ManagementPersonnel AdministrationEducation/ TrainingSkills ManagementPoliciesManagement ImprovementsGovernment MandatesBusiness RequirementsEmployee RelationsBusiness DriversCustomer SupportBudgetsProcesses and ProceduresComplianceGovernment RegulationGovernment StandardsCompliance TestingRiskContingency PlanningContinuity of OperationsService RecoveryKnowledge ManagementData WarehouseData MartData CleansingData IntegrationData ExchangeInformation Security MiddlewareCOTSTechnologyTechnology CostsOverall CostsAccountingFunds ControlPaymentsBudgetsContractingReturn On InvestmentPayback PeriodBreakeven AnalysisLicensing CostsProcurement Alternative AnalysisCost BenefitSupport CostsAcquisition ManagementBaseline BudgetExpense ManagementChange ManagementSchedulingCost Benefit AnalysisOperation and Maintenance CostsShort Term Project CostsLong Term Project CostsReturn on InvestmentPresent ValuesTraining and User CostsSkills ManagementWorkforce Acquisition/OptimizationTeam ManagementContingent Workforce ManagementBudgetingQuality AssuranceFunctionalityQuality ManagementProblem ManagementRelease ManagementInstrumentation and TestingIT CompositionInfrastructureSystem DesignData ManagementStandards Compliance and DeviationsGovernment RegulationsProblem ManagementIndustry StandardsService Level AgreementsEfficiencySystem Response TimeSystem ConfigurationBandwidthInfrastructureHardware/SoftwareMiddlewareSystem MonitoringNetworksInteroperabilityLegacy IntegrationEnterprise Application IntegrationData IntegrationData TransformationData Format/ClassificationInstrumentation and TestingSoftware DevelopmentAccessibilityService LevelsPerformance StandardsUser RequirementsSecurity ManagementLoad LevelsPerformance RequirementsBandwidthSystem CommunicationsData SharingSystem Load AnalysisTechnology ImprovementsService PlatformHardware/ InfrastructureAcquisitionsLegacy IntegrationEnterprise Application IntegrationSoftware EngineeringSkill ManagementTrainingTestingInformation and DataExternal Data SharingData Warehouse SchedulingData IntegrationSystem ManagementRelease ManagementData RecoveryData StandardizationData ExchangeData SecurityNetwork ManagementConfiguration ManagementApplication DesignSystem RequirementsInternal Data SharingData ExchangeData SecurityNetwork ManagementConfiguration ManagementData Reliability and QualityData WarehouseError ManagementAuditingSecurity ManagementData StorageCapacity RequirementsData ManagementLoading and ArchivingReliability and AvailabilityAvailabilitySystem BackupsService Level AgreementsPerformance StandardsAvailability StandardsReliabilityQuality ManagementError ManagementPerformance StandardsContingency ManagementRisksSystem Resource MonitoringRemote System ControlsEffectivenessUser SatisfactionCustomer Feedback AnalysisCustomer Satisfaction DocumentationHelp Desk ServicesProblem ManagementResponse TimeUser RequirementsProject PlanningUser InputsLegacy EvaluationSystem ImprovementsSoftware EngineeringSystem MaintenanceIT Contribution to Process, Customer, or MissionSystem PerformanceQuality Levels Performance ThresholdsService LevelsPerformance IndicatorsCustomer SatisfactionData ManagementBusiness LogicSystem ImprovementsInfrastructure ImprovementsRecord of ChangesInstructions: Provide information on how the development and distribution of the DOCPROPERTY Title \* MERGEFORMAT Business Case Template will be controlled and tracked. Use the table below to provide the version number, the date of the version, the author/owner of the version, and a brief description of the reason for creating the revised version.Table 5: Record of ChangesVersionNumberDateAuthor/OwnerDescription of ChangeAcronymsInstructions: Provide a list of acronyms and associated literal translations used within the document. List the acronyms in alphabetical order using a tabular format as depicted below.Table 6: AcronymsAcronymLiteral TranslationCOTSCommercial Off-The-ShelfFEAFederal Enterprise ArchitectureGOTSGovernment Off-The-ShelfROIReturn On InvestmentWBSWork Breakdown StructureGlossaryInstructions: Provide clear and concise definitions for terms used in this document that may be unfamiliar to readers of the document. Terms are to be listed in alphabetical order.Table 7: GlossaryTermDefinitionPerformance Reference Model (PRM)The Performance Reference Model (PRM) is a framework for performance measurement providing common output measurements throughout the federal government.Referenced DocumentsInstructions: Summarize the relationship of this document to other relevant documents. Provide identifying information for all documents used to arrive at and/or referenced within this document (e.g., related and/or companion documents, prerequisite documents, relevant technical documentation, etc.).Table 8: Referenced DocumentsDocument NameDocument Location and/or URLIssuance DateApprovalsThe undersigned acknowledge that they have reviewed the DOCPROPERTY Subject \* MERGEFORMAT Error! Unknown document property name. DOCPROPERTY Title \* MERGEFORMAT Business Case Template and agree with the information presented within this document. Changes to this DOCPROPERTY Title \* MERGEFORMAT Business Case Template will be coordinated with, and approved by, the undersigned, or their designated representatives.Instructions: List the individuals whose signatures are desired. Examples of such individuals are Business Owner, Project Manager (if identified), and any appropriate stakeholders. Add additional lines for signature as necessary.Signature:Date:Print Name:Title:Role:Signature:Date:Print Name:Title:Role:Signature:Date:Print Name:Title:Role:Notes to the Author / Template InstructionsThis document is a template for creating a DOCPROPERTY Title \* MERGEFORMAT Business Case Template for a given investment or project. The final document should be delivered in an electronically searchable format. The DOCPROPERTY Title \* MERGEFORMAT Business Case Template should stand on its own with all elements explained and acronyms spelled out for reader/reviewers, including reviewers outside CMS who may not be familiar with CMS projects and investments.This template includes instructions, boilerplate text, and fields. The developer should note that:Each section provides instructions or describes the intent, assumptions, and context for content included in that section. Instructional text appears in blue italicized font throughout this template.Instructional text in each section should be replaced with information specific to the particular investment.Some text and tables are provided as boilerplate examples of wording and formats that may be used or modified as appropriate.When using this template, follow these steps:Table captions and descriptions are to be placed centered, above the table.Modify any boilerplate text, as appropriate, to your specific investment.Do not delete any headings. If the heading is not applicable to the investment, enter “Not Applicable” under the heading.All documents must be compliant with Section 508 requirements.Figure captions and descriptions are to be placed centered, below the figure. All figures must have an associated tag providing appropriate alternative text for Section 508 compliance.Delete this “Notes to the Author / Template Instructions” page and all instructions to the author before finalizing the initial draft of the document.XLC Template Revision HistoryThe following table records information regarding changes made to the XLC template over time. This table is for use by the XLC Steering Committee only. To provide information about the controlling and tracking of the DOCPROPERTY Title \* MERGEFORMAT Business Case Template artifact, please refer to page PAGEREF RecordOfChanges 15 (Record of Changes). Table 9: XLC Template Revision HistoryVersionNumberDateAuthor/OwnerDescription of Change1.012/30/2009CMS/OIS/DITGBaseline version of template.2.005/15/2011Celia Shaunessy, CMS/OIS/DITGReformatted using XLC template.2.108/06/2014Celia Shaunessy, CMS/OIS/DITGChanges made per CR 14-012.2.202/02/2015Surya Potu,CMS/OEI/DPPIGUpdated CMS logo2.306/22/2016Manoj NageliaCMS/CCSQ/ISG/DQSGEDSection 4.2 – Updated the table and instructions per CR 16-006.2.412/13/2017Surya PotuCMS/OIT/ICPG/DIIMPSection 4.2 – Updated the link to FEA Consolidated Reference ModelAdditional AppendicesInstructions: Utilize additional appendices to facilitate ease of use and maintenance of the document. ................
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