U.S. Department of Education: Promoting Educational Excellence for all Americans

National Student Loan Data System (NSLDS)

Exhibit 300: Capital Asset Plan and Business Case Summary
Part I: Summary Information And Justification

Section A: Overview

  1. Date of submission: Sep 10, 2007
  2. Agency: 018
  3. Bureau: 45
  4. Name of this Capital Asset: National Student Loan Data System (NSLDS)
  5. Unique Project (Investment) Identifier: 018-45-01-06-01-1100-00
  6. What kind of investment will this be in FY2010? Operations and Maintenance
  7. What was the first budget year this investment was submitted to OMB? FY2001 or earlier
  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: NSLDS was mandated by Congress in the Higher Education Act and implemented in 1994. NSLDS aims to collect, store and make available detailed data about TITLE IV aid dispersed and the aid recipients. It aims to simplify and streamline aid delivery processes used by schools, lenders and guarantors throughout the country, replacing paper driven techniques with efficient electronic communications. NSLDS was mandated by Congress in the Higher Education Act, as amended, 20USC1092b. The mandate required the establishment of a National Student Loan Data System containing information regarding loans made, insured or guaranteed and electronic exchange of data between program participants and the system. The data system included but was not limited to, "loan amount and type; names and social security numbers of borrowers; guaranty agency responsible for the guarantee of the loan; the institution of higher education or organization responsible for loans made; the exact amount of loans partially or totally canceled or in deferment, the eligible institution in which the student was enrolled at the time the loan was made, and any additional institutions attended by the borrower; the total amount of loans made to any borrower and the remaining balance of loans; the lender, holder and servicer of such loans; information concerning the date of any default on the loan and the collection of the loan, including any information concerning the repayment status of any defaulted loan on which the Secretary has made a payment pursuant to section 1080(a) of 20USC1092b or the guaranty agency has made a payment to the previous holder of the loan; information regarding any deferments or forbearance granted on such loans; and the date of cancellation of the note upon completion of repayment by the borrower of the loan or payment by the Secretary pursuant to section 1087 of 20USC1092b." Other information is collected for research and policy analysis, providing for the monitoring of enrollment of students and provide borrowers the ability to identify the current holders and servicers of their loans. NSLDS has fulfilled the mandated requirements. NSLDS is currently in Operations and Maintenance mode with its contract expiring in 2009. An acquisition plan is currently under development for the follow-on solicitation, new development may be necessary in the future which may require changing 2011 business case to mixed-lifecycle.
  9. Did the Agency's Executive/Investment Committee approve this request? yes
    1. If "yes," what was the date of this approval? Aug 30, 2007
  10. Did the Project Manager review this Exhibit? yes
  11. Contact information of Program/Project Manager?
    1. What is the current FAC-P/PM (for civilian agencies) or DAWIA (for defense agencies) certification level of the program/project manager? Senior/Expert/DAWIA-Level 3
  1. Has the agency developed and/or promoted cost effective, energy efficient and environmentally sustainable techniques or practices for this project. no
    1. Will this investment include electronic assets (including computers)? no
    2. Is this investment for new construction or major retrofit of a Federal building or facility? (answer applicable to non-IT assets only) no
      1. If "yes," is an ESPC or UESC being used to help fund this investment? [Not answered]
      2. If "yes," will this investment meet sustainable design principles? [Not answered]
      3. If "yes," is it designed to be 30% more energy efficient than relevant code? [Not answered]
  2. Does this investment directly support one of the PMA initiatives? yes
    Eliminating Improper Payments
    Financial Performance
    Expanded E-Government
    1. Briefly and specifically describe for each selected how this asset directly supports the identified initiative(s)? Improves financial performance by using loan data within NSLDS to generate summary details to aid Financial Management System with Account Maintenance and Loan Processing Fee payments to Guarantors. Supports elimination of improper payments by providing loan level detail for reasonability checks financial reports for Guaranty Agencies. Support eGovernment initiative through the NSLDS web sites that provide services to individuals as a single point of entry for accessing Title IV aid
  3. 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
    1. If "yes," does this investment address a weakness found during a PART review? yes
    2. If "yes," what is the name of the PARTed program? 10000202 - Student Aid Administration
    3. If "yes," what rating did the PART receive? Adequate
  4. Is this investment for information technology? yes

For information technology investments only:

  1. What is the level of the IT Project? (per CIO Council PM Guidance) Level 2
  2. In addition to the answer in 11(a), what project management qualifications does the Project Manager have? (per CIO Council PM Guidance) (1) Project manager has been validated as qualified for this investment
  3. Is this investment or any project(s) within this investment identified as "high risk" on the Q4-FY 2008 agency high risk report (per OMB Memorandum M-05-23)? yes
  4. Is this a financial management system? no
    1. If "yes," does this investment address a FFMIA compliance area? [Not answered]
      1. If "yes," which compliance area: [Not answered]
      2. If "no," what does it address? [Not answered]
    2. If "yes," please identify the system name(s) and system acronym(s) as reported in the most recent financial systems inventory update required by Circular A-11 section 52 [Not answered]
  5. What is the percentage breakout for the total FY2010 funding request for the following?
Hardware 0
Software 0
Services 100
Other 0
  1. If this project produces information dissemination products for the public, are these products published to the Internet in conformance with OMB Memorandum 05-04 and included in your agency inventory, schedules and priorities? n/a
  2. Contact information of individual responsible for privacy related questions:
   
   
   
   
  1. Are the records produced by this investment appropriately scheduled with the National Archives and Records Administration's approval? yes
  2. Does this investment directly support one of the GAO High Risk Areas? no

Section B: Summary of Spending

  1.  

Table 1: SUMMARY OF SPENDING FOR PROJECT PHASES
(REPORTED IN MILLIONS)
(Estimates for BY+1 and beyond are for planning purposes only and do not represent budget decisions)

  PY-1 and earlier PY 2008 CY 2009 BY 2010 BY+1 2011 BY+2 2012 BY+3 2013 BY+4 and beyond Total
Planning: 0.25 0.25 0 0          
Acquisition: 0 0 0 0          
Subtotal Planning amp; Acquisition: 0.25 0.25 0 0          
Operations & Maintenance: 50.2 10.59 9.3 9.5          
TOTAL: 50.45 10.84 9.3 9.5          

Government FTE Costs should not be included in the amounts provided above.

Government FTE Costs 4.04 1.16 1.21 1.25          
Number of FTE represented by Costs: 38 10 11 11          
  1. Will this project require the agency to hire additional FTE's? no
    1. If "yes", How many and in what year? [Not answered]
  2. If the summary of spending has changed from the FY2009 President's budget request, briefly explain those changes: Additional funding is requested in the amount of 500K to do security enhancements and other regulatory & statutory require changes.

Section D: Performance Information

Performance Information Table

Fiscal Year Strategic Goal(s) Supported Measurement Area Measurement Grouping Measurement Indicator Baseline Target Actual Results
2004 Deliver federal student aid to students and parents effectively and efficiently. Customer Results Frequency and Depth Frequency: Number of GAs reporting more than monthly. 4 GAs report more than monthly (FY 2002) 24 GAs report more than monthly 7
2004 Deliver federal student aid to students and parents effectively and efficiently. Processes and Activities Participation Participation: Number of Guaranty Agencies (GA) reporting electronically. 13 GAs report electronically (FY 2002) 35 GAs e-report. 33
2004 Deliver federal student aid to students and parents effectively and efficiently. Technology Operations and Maintenance Costs Overall Cost: Cost per Student decreases. Cost per Student = $0.2200 (FY 2002) Cost per Student decreases to $0.1997. .21Goal not met due to cost of transition to new contractor
2005 Deliver federal student aid to students and parents effectively and efficiently. Mission and Business Results Higher Education Higher Education: Number of NSLDS findings in Financial Statement Audit 0 0 0
2005 Deliver federal student aid to students and parents effectively and efficiently. Customer Results System Response Time Response time: Average speed of answering phone at customer service center (in seconds). 30 25 20
2005 Deliver federal student aid to students and parents effectively and efficiently. Processes and Activities Cycle Time Cycle Time: Data processing time. Currently running at 100% of CPU. 90% 100% 90%
2005 Deliver federal student aid to students and parents effectively and efficiently. Technology System Response Time Response Time: Timely resolution of abends within contractual performance measures based on severity levels. 85% 90% 100% as of 9/30/2006
2006 Deliver federal student aid to students and parents effectively and efficiently. Mission and Business Results Higher Education Higher Education: Number of NSLDS findings in Financial Statement Audit 0 0 0
2006 Deliver federal student aid to students and parents effectively and efficiently. Customer Results System Response Time Response time: Average speed of answering phone at customer service center. 30 25 21 as of 9/30/06
2006 Deliver federal student aid to students and parents effectively and efficiently. Processes and Activities Cycle Time Cycle Time: Data processing time. Currently running at 100% of CPU. 100% 90% 90% as of 9/2006
2006 Deliver federal student aid to students and parents effectively and efficiently. Technology System Response Time Response Time: Timely resolution of abends within contractual performance measures based on severity levels. 85% 90% 95% as of 6/2006
2007 Deliver federal student aid to students and parents effectively and efficiently. Mission and Business Results Higher Education Higher Education: Number of NSLDS findings in Financial Statement Audit 0 0 0
2007 Deliver federal student aid to students and parents effectively and efficiently. Customer Results System Response Time Response Time: Average speed of answering phone at customer service center (in seconds). 30 25 25
2007 Deliver federal student aid to students and parents effectively and efficiently. Processes and Activities Cycle Time Cycle Time: Data processing time. Currently running at 100% of CPU. 100% 90% 90%
2007 Deliver federal student aid to students and parents effectively and efficiently. Technology System Response Time Response Time: Timely resolution of abends within contractual performance based on severity levels 85% 95% 87%
2008 Deliver federal student aid to students and parents effectively and efficiently. Mission and Business Results Higher Education Higher Education:Number of NSLDS findings in Financial Statement Audit. 0 0 0 as of 7/08
2008 Deliver federal student aid to students and parents effectively and efficiently. Customer Results System Response Time Response Time: Average speed of answering phone at customer service center (in seconds). 30 25 20 as of 7/08
2008 Deliver federal student aid to students and parents effectively and efficiently. Processes and Activities Cycle Time Cycle Time: Data Processing Time. Currently running at 100% CPU. 100% 90% 73 as of 7/08
2008 Deliver federal student aid to students and parents effectively and efficiently. Technology System Response Time Response Time: Resolution of abends within contractual performance based on three levels of severity. 85% 90% 85 as of 7/08
2009 Deliver federal student aid to students and parents effectively and efficiently. Customer Results System Response Time Response Time: Average speed of answering phone at customer service center (in seconds) 25 22 Available 9/09
2009 Deliver federal student aid to students and parents effectively and efficiently. Processes and Activities Cycle Time Cycle Time: Data Processing Time. Currently running at 100% of CPU. 95% 100% Available 9/09
2009 Deliver federal student aid to students and parents effectively and efficiently. Technology System Response Time Response Time: Resolution of abends within contractual performance based on three levels of severity. 90% 92% Available 9/09
2009 Deliver federal student aid to students and parents effectively and efficiently. Mission and Business Results Higher Education Higher Education:Number of NSLDS findings in Financial Statement Audit. 0 0 Available 9/09
2010 Deliver federal student aid to students and parents effectively and efficiently. Mission and Business Results Higher Education Higher Education:Number of NSLDS findings in Financial Statement Audit. 0 0 Available 9/10
2010 Deliver federal student aid to students and parents effectively and efficiently. Customer Results System Response Time Response Time: Average speed of answering phone at customer service center (in seconds) 25 22 Available 9/10
2010 Deliver federal student aid to students and parents effectively and efficiently. Customer Results Higher Education Call Accuracy 95% 95% Available 9/10
2010 Deliver federal student aid to students and parents effectively and efficiently. Customer Results Higher Education Customer Statisfaction 4 out of 5 4 out of 5 Available 9/10
2010 Deliver federal student aid to students and parents effectively and efficiently. Customer Results Higher Education Call Response Time 95% 95% Available 9/10
2010 Delivers federal student aid to students and parents effectively and efficiently. Processes and Activities Higher Education Abend Mangement Severity 2 85% 85% Available 9/10
2010 Delivers federal student aid to students and parents effectively and efficiiently Processes and Activities Higher Education Documentation Delivered 100% 100% Available 9/10
2010 Deliver federal student aid to students and parents effectively and efficiently Processes and Activities Cycle Time Cycle Time: Data Processing Time: Currently running at 100% of CPU 95% 100% Available 9/10
2010 Deliver federal student aid to students and parents effectively and efficiently Technology System Response Time Response Time: Resolution of abends within contractual performance based on three levels of severity. 90% 92% Available 9/10

Section F: Enterprise Architecture (EA)

  1. Is this investment included in your agency's target enterprise architecture? yes
    1. If "no," please explain why? [Not answered]
  2. Is this investment included in the agency's EA Transition Strategy? yes
    1. If "yes," provide the investment name as identified in the Transition Strategy provided in the agency's most recent annual EA Assessment. Information Framework/Operational Data Store
    2. If "no," please explain why? [Not answered]
  3. Is this investment identified in a completed and approved segment architecture? yes
    1. If "yes," provide the six digit code corresponding to the agency segment architecture. The segment architecture codes are maintained by the agency Chief Architect. For detailed guidance regarding segment architecture codes, please refer to http://www.egov.gov/. 206-000

4. Service Component Reference Model (SRM) Table :

Agency Component Name Agency Component Description FEA SRM Service Type FEA SRM Component Service Component Reused Internal or External Reuse? BY Funding Percentage
Component Name UPI
FSA/NSLDS System Security Provide Security for NSLDS data. Security Management Identification and Authentication [Not answered] [Not answered] No Reuse 7
FSA/NSLDS System Security Provide security for NSLDS data. Security Management Access Control [Not answered] [Not answered] No Reuse 3
FSA/NSLDS Data Search Provide ability to FSA systems to query data. Search Query [Not answered] [Not answered] No Reuse 5
FSA/NSLDS CRM Provide customer support. Customer Initiated Assistance Online Help [Not answered] [Not answered] No Reuse 1
FSA/NSLDS CRM Provide customer support. Customer Initiated Assistance Self-Service [Not answered] [Not answered] No Reuse 2
FSA/NSLDS CRM Provide customer support. Customer Initiated Assistance Assistance Request [Not answered] [Not answered] No Reuse 8
FSA/NSLDS Management of Process Provide management and oversight of contractor. Reporting Ad Hoc [Not answered] [Not answered] No Reuse 15
FSA/NSLDS Knowledge Management Provide data request support. Knowledge Management Information Retrieval [Not answered] [Not answered] No Reuse 8
FSA/NSLDS Knowledge Management Provide data request support. Knowledge Management Knowledge Distribution and Delivery [Not answered] [Not answered] No Reuse 5
FSA/NSLDS Records Management Provide and store data records. Records Management Record Linking / Association [Not answered] [Not answered] No Reuse 1
FSA/NSLDS Reporting Provide informational reports to customers. Reporting Ad Hoc [Not answered] [Not answered] No Reuse 3
FSA/NSLDS Reporting Provide informational reports to customers. Reporting Standardized / Canned [Not answered] [Not answered] No Reuse 2
FSA/NSLDS Data Management Provides data management to support Federal Student Aid Functions. Data Management Data Exchange [Not answered] [Not answered] No Reuse 6
FSA/NSLDS Data Management Provide data management to support Federal Student Aid Functions. Data Management Data Warehouse [Not answered] [Not answered] No Reuse 15
FSA/NSLDS Data Management Provide Data Management to support Federal Student Aid Functions. Data Management Extraction and Transformation [Not answered] [Not answered] No Reuse 4
FSA/NSLDS Data Management Provide Data Management to support Federal Student Aid Functions. Data Management Loading and Archiving [Not answered] [Not answered] No Reuse 14
FSA/NSLDS CRM Provide customer support. Customer Preferences Alerts and Notifications [Not answered] [Not answered] No Reuse 1

 

5. Technical Reference Model (TRM) Table:

FEA SRM Component FEA TRM Service Area FEA TRM Service Category FEA TRM Service Standard Service Specification
Record Linking / Association Service Platform and Infrastructure Support Platforms Dependent Platform IBM Corporation, zOS Version 8.0
Ad Hoc Service Platform and Infrastructure Support Platforms Dependent Platform IBM Corporation, zOS Version 8.0
Standardized / Canned Service Platform and Infrastructure Support Platforms Dependent Platform IBM Corporation, zOS Version 8.0
Data Exchange Service Platform and Infrastructure Support Platforms Dependent Platform IBM Corporation, zOS Version 8.0
Data Warehouse Service Platform and Infrastructure Support Platforms Dependent Platform IBM Corporation, zOS Version 8.0
Extraction and Transformation Service Platform and Infrastructure Support Platforms Dependent Platform IBM Corporation, zOS Version 8.0
Loading and Archiving Service Platform and Infrastructure Support Platforms Dependent Platform IBM Corporation, zOS Version 8.0
Record Linking / Association Service Platform and Infrastructure Database / Storage Database IBM Corporation, DB2 Connect Version 8.0
Ad Hoc Service Platform and Infrastructure Database / Storage Database IBM Corporation, DB2 Connect Version 8.0
Standardized / Canned Service Platform and Infrastructure Database / Storage Database IBM Corporation, DB2 Connect Version 8.0
Data Exchange Service Platform and Infrastructure Database / Storage Database IBM Corporation, DB2 Connect Version 8.0
Data Warehouse Service Platform and Infrastructure Database / Storage Database IBM Corporation, DB2 Connect Version 8.0
Extraction and Transformation Service Platform and Infrastructure Database / Storage Database IBM Corporation, DB2 Connect Version 8.0
Loading and Archiving Service Platform and Infrastructure Database / Storage Database IBM Corporation, DB2 Connect Version 8.0
Information Retrieval Service Platform and Infrastructure Support Platforms Dependent Platform Microsoft Corporation, Windows 2000 Server
Information Retrieval Service Platform and Infrastructure Delivery Servers Web Servers Microsoft Corporation, Internet Information Server
Knowledge Distribution and Delivery Service Platform and Infrastructure Support Platforms Dependent Platform Microsoft Corporation, Windows 2000 Server
Knowledge Distribution and Delivery Service Platform and Infrastructure Delivery Servers Web Servers Microsoft Corporation, Internet Information Server
Access Control Service Access and Delivery Service Requirements Authentication / Single Sign-on IBM Corporation, zOS Version 8.0
Query Service Platform and Infrastructure Delivery Servers Web Servers IBM Corporation, zOS Version 8.0
Online Help Service Access and Delivery Access Channels Collaboration / Communications MS IE or Netscape
Self-Service Service Access and Delivery Access Channels Web Browser MS IE or Netscape
Assistance Request Component Framework User Presentation / Interface Dynamic Server-Side Display Siebel Partner Relationship Management
Alerts and Notifications Service Access and Delivery Access Channels Other Electronic Channels iFAR
Identification and Authentication Service Access and Delivery Service Requirements Authentication / Single Sign-on IBM Tivoli Access Manager (TAM)
  1. Will the application leverage existing components and/or applications across the Government (i.e., USA.Gov, Pay.Gov, etc)? no
    1. If "yes," please describe. [Not answered]

Part III: For "Operation and Maintenance" investments ONLY (Steady State)

Section A: Risk Management (All Capital Assets)

  1. Does the investment have a Risk Management Plan? yes
    1. If "yes," what is the date of the plan? Oct 15, 2007
    2. Has the Risk Management Plan been significantly changed since last year's submission to OMB? no
    3. If "yes," describe any significant changes: [Not answered]
  2. If there currently is no plan, will a plan be developed? [Not answered]
    1. If "yes," what is the planned completion date? [Not answered]
    2. If "no," what is the strategy for managing the risks? [Not answered]

Section B: Cost and Schedule Performance (All Capital Assets)

  1. Was operational analysis conducted? yes
    1. If "yes," provide the date the analysis was completed. Jun 30, 2008
    2. If "yes," what were the results? [Not answered]
    3. If "no," please explain why it was not conducted and if there are any plans to conduct operational analysis in the future: The U.S. Department of Education has recognized the requirement for conducting an operational analysis and is working to sufficiently respond to the requirement request as released in the OMB Memorandum M-05-023. In the meantime, cost and schedule performance are being monitored and analyzed on a monthly basis.
  2.  
    1. What costs are included in the reported Cost/Schedule Performance information (Government Only/Contractor Only/Both)? Contractor Only

2. b Comparison of Plan vs. Actual Performance Table:

Description of Milestone Planned Actual Variance
Completion Date Total Cost ($M) Completion Date Total Cost ($M) Schedule:Cost
(# days/$M)
FY 2002 Maintenance Sep 30, 2002 10.6494 Sep 30, 2002 10.6494 0 0
FY 2003 Maintenance Sep 30, 2003 13.78 Sep 30, 2003 11.7357 0 2.0443
FY 2004 Maintenance Sep 30, 2004 10.485 Sep 30, 2004 11.2808 0 -0.7958
FY 2005 Maintenance Sep 30, 2005 7.398 Sep 30, 2005 7.397935 0 2.449545
FY 2006 Maintenance Sep 30, 2006 8.628 Sep 30, 2006 8.541128 0 2.641067
FY 2007 Maintenance Sep 30, 2007 7.988 Sep 30, 2007 7.942 0 2.40166
FY 2008 Maintenance Sep 30, 2008 10.59 [Not answered] [Not answered] [Not answered] [Not answered]
FY 2009 Maintenance Sep 30, 2009 9.3 [Not answered] [Not answered] [Not answered] [Not answered]
FY 2010 Maintenance Sep 30, 2010 9.5 [Not answered] [Not answered] [Not answered] [Not answered]
             

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