1

eCPIC Admin Training:OMB Submission Packages and Annual Submissions

These training materials are owned by the Federal Government. They can be used or modified only by FESCOM member agencies.

2

Date Description of Changes

August 28, 2014 - Updated all screenshots and descriptive text to reflect the enhancements to the user interface and the latest versions (v6.5 and v6.6) of eCPIC that implements the OMB BY2016 requirements.

- Updated all references to Exhibit 53 and 300 to Agency IT Portfolio Summary and Major IT Business Case in accordance with changes by OMB.

- Added information regarding the Agency IT Infrastructure Spending Summary, which is new for BY16

- Added overview slides to introduce each topic area of the training guide.

OMB Submission Packages and Annual Submissions, Change Log

3

Slide 3 - Overview

Slide 5 - Creating a Submission Package

Slide 11 - Agency IT Portfolio Validation and Submission

Slide 20 - Major IT Business Case Validation and Submission

OMB Submission Packages and Annual Submissions

4

OMB Submission Packages and Annual Submissions: Overview The OMB Submission module allows agencies to send investment updates and A-11 artifacts—including the Agency IT Portfolio

and Major IT Business Case—to the Office of Management and Budget’s (OMB) IT Dashboard (ITDB). eCPIC’s direct connection to the ITDB allows agencies to validate their investments prior to submission, review investment warning and error messages, and prepare feedback to investment owners, ensuring high-quality and compliant submissions.

eCPIC investments are grouped into OMB submission packages before they are validated and sent to the ITDB. Submission packages can be used for 3 different types of OMB submissions:• Agency IT Portfolio (which are composed of all the investments in a submission package)• Major IT Business Case (individual investments can be selected from a submission package)• Monthly ITDB updates (individual investments can be selected from a submission package)

We’ll explore Agency IT Portfolio submissions and Major IT Business Case submissions in this training guide. Monthly ITDB updates will be covered in a different training guide—“Monthly ITDB Updates”.

5

OMB Submission Packages and Annual Submissions

Slide 3 - Overview

Slide 5 - Creating a Submission Package

Slide 11 - Agency IT Portfolio Validation and Submission

Slide 20 - Major IT Business Case Validation and Submission

6

Create a New Submission Package To create a new OMB submission package, navigate to the OMB Submission module and select the icon. In the new window that appears, enter the submission package name, enter a brief description of the package’s purpose, and

select a primary point of contact. This will help you locate and identify the submission package later. Select the template name (Budget Year) from the dropdown list. You will only be allowed to populate the submission package

with investment revisions from the same template (Budget Year). Select a submission type from the dropdown list (either Final, Working, or Passback). This will help you locate and identify the

submission package later. Click the icon to save.

7

Create a New Submission Package, Continued After creating a submission package, select the investments to include within the package.

1) Click the ‘Select Investments’ tab at the top of the page.

2) Use the checkboxes to the left of the investment names to select which investments will be included in the submission package.

3) Click the icon to save.

2

31

eCPIC Tip: The ‘Select Portfolios’ option works the same way as ‘Select Investments’, but it can be a quicker alternative for selecting groups of investments to include in your submission package at one time.

8

Create a New Submission Package, Continued After selecting investments or portfolios, the ‘OMB Package Investments’ tab will display a list of the investments included in

the OMB submission package.

9

Toolbar Options After creating a submission package, eCPIC will display 13 icons on the toolbar of the submission package main page. Below is a

description of the unique icons.

Create a new submission package Delete the submission package

Edit the submission package definition terms (name, description, etc.) Set submission package user permissions

Copy the submission package Set submission package group permissions

Check the submission package for any double-counting deriving from consolidated business case investments Set submission package roles

Edit IT security costs Edit IT Infrastructure costs

10

3. If Agency IT Infrastructure Spending data has been entered at the investment level, clicking will roll this data from all investments in the submission package, aggregating it and populating the Agency IT Infrastructure Spending fields accordingly.

4. If Agency IT Infrastructure Spending data has been entered at the portfolio level, clicking will roll this data from all portfolios in the submission package, aggregating it and populating the Agency IT Infrastructure Spending fields accordingly.

Edit IT Infrastructure Spending Click the ‘Infra’ icon ( ) in the toolbar to edit the submission package’s Agency IT Infrastructure Spending. Agencies have 4 ways to populate the IT Infrastructure Spending data:

1. After selecting a submission package, enter the aggregate Agency IT Infrastructure Spending information directly into the data fields on this page.

2. Use the ‘Browse’ and ‘Upload’ buttons to upload an Excel file and import Agency IT Infrastructure Spending information into the data fields.

2 3 4

1

11

OMB Submission Packages and Annual Submissions

Slide 3 - Overview

Slide 5 - Creating a Submission Package

Slide 11 - Agency IT Portfolio Validation and Submission

Slide 20 - Major IT Business Case Validation and Submission

12

Agency IT Portfolio Validation To validate the submission package investments against the Agency IT Portfolio business logic, click the icon. The “Agency IT Portfolio Investment Summary” table shows how many Major and Non-major investments are included in the

Agency IT Portfolio and how many investments appear in each part of the document.

13

Agency IT Portfolio Validation, Continued The bottom of the “Validation and Exclusion Report” shows a list of the error and warning messages generated by the Agency IT

Portfolio XML business logic validation check (internal eCPIC validations). Drag a column header to the top row of the table to group the report according to that column. Click within the

box next to any column header to filter within that column. Select the icon to export the validation report to MS Excel. Note: System Administrators can adjust the XML business logic triggers in the Admin Module (see the “Establishing Agency

Definitions” training session).

14

Agency IT Portfolio Generation To generate an Agency IT Portfolio based on all the investments in the submission package, click the link in the toolbar.

1) Select a display option for the Agency IT Portfolio Summary. The default setting will generate an OMB-compliant version of the document.

2) Select which fiscal year will represent the Budget Year (BY) in the Agency IT Portfolio Summary.

3) Click the link to generate an Agency IT Portfolio in MS Excel or click the link to generate an Agency IT Portfolio Summary in HTML format within the eCPIC tool. This link also allows Administrators to submit their HTML Agency IT Portfolio Summary to OMB, which we will explore on the next slides.

Note: The link on this page leads to the same Agency IT Portfolio validation features on slides 8 and 9.

1

2

3

15

Agency IT Portfolio Generation, Continued Below is an example of an HTML Agency IT Portfolio, generated when the user clicks the link, which can

be found on the previous slide. Use the tabs to toggle between the IT Portfolio, Cloud Spending and IT Infrastructure data. Click the icon to export the information to MS Excel. Click the icon to proceed to the OMB validation and submission page.

IT Portfolio/ Cloud Spending/ IT Infrastructure Toggle

Export to MS Excel

Proceed to OMB Validation/Submission Page

16

Agency IT Portfolio Submission

After clicking the to ‘Proceed to the OMB validation and Submission icon ( ) shown on the previous slide, eCPIC will prompt you for your OMB IT Dashboard login credentials.

Enter your OMB-issued ITDB Token, along with your first and last name, and click the ‘Continue’ button.

17

Agency IT Portfolio Submission, Continued Use the checkboxes to select the parts of the Agency IT Portfolio to send to OMB.

The 3 options are Agency IT Portfolio, Agency Cloud Spending Summary, Agency IT Infrastructure Spending Summary. Use the ‘Version Type’ radio buttons to submit a “Draft” or a “Final” version. Click ‘Export’ to export a copy of the IT Budget to MS Excel.

Version Type

IT Budget Submission

Parts

Export Validate Submit

18

Agency IT Portfolio Submission, Continued After clicking the ‘Validate’ button, eCPIC will validate the Agency IT Budget against OMB’s IT Dashboard schema. If there is an error, this message will display on the screen: A list of the error and warning messages returned from the ITDB will also appear on the page. Errors will preclude an agency from submitting their Agency IT Budget. Address the IT Dashboard errors by navigating to the appropriate investment(s) in the Investments Module, making the data

update(s), and then re-validate the Agency IT Budget.

Validate

19

Agency IT Portfolio Submission, Continued If the validation check produces no errors, the Agency IT Budget is ready for submission to OMB. Click the ‘Submit’ button. This submission confirmation message will appear on the screen:

Agency IT Budget Submission

Confirmation Message

20

OMB Submission Packages and Annual Submissions

Slide 3 - Overview

Slide 5 - Creating a Submission Package

Slide 11 - Agency IT Portfolio Validation and Submission

Slide 20 - Major IT Business Case Validation and Submission

21

Major IT Business Case Validation & Submission To validate and submit a Major IT Business Case, open a submission package and select the tab,

‘Major IT Business Case Submission’.

22

Major IT Business Case Validation & Submission (Step 1) Submitting Major IT Business Case’s through eCPIC is a 4-step process:

1) Select investments for Major IT Business Case validation and submission.

2) Validate Major IT Business Cases’ XML schemas (internal to eCPIC).

3) Validate Major IT Business Case’s against the ITDB (external to eCPIC).

4) Submit the desired Major IT Business Cases. First, use the checkboxes on the left side of the screen to select the investments to validate and submit. If the submission

package contains all Major investments you wish to submit, click the ‘Select All’ checkbox.

1

23

Major IT Business Case Validation & Submission (Step 2) Next, click the button to validate the selected Major IT Business Case files. This validation is internal to eCPIC and is

based on the business logic settings set by the system administrator (see the “Establishing Agency Definitions” training session). After the system performs its validation check, one of 3 icons will appear in the “Status” column of the selected investments:

Indicates that there were no XML warnings or errors found. The investment is ready for ITDB validation and submission. Indicates that there were 1 or more XML warnings found. Click the icon to see a list of the specific XML warning

messages. Warnings may indicate that the investment is not ready for submission. Indicates that there were 1 or more XML errors found. Click the icon to see a list of the specific XML error messages. If an

investment generates XML errors, it cannot be validated and submitted to the ITDB until the errors are addressed.

2

24

Major IT Business Case Validation & Submission (Step 3) Select the investments that are ready for validation against the IT Dashboard (Step 3a), and click the button (Step 3b).

3b

3a

This brings you to the ITDB Validation and Submission page. Again, select the desired investments (Step 3c) and click the button to validate them against the ITDB (Step 3d).

3c

3d

25

Major IT Business Case Validation & Submission (Step 4) If the ITDB validation produced any warnings or errors, each warning/error message will appear beneath the investment name. Click the button to export the validation warning and error messages to an MS Word file for review. An investment with only warning messages can be submitted to the ITDB. If an investment has any ITDB error messages, the

errors must be resolved before the investment can be successfully submitted. Click the investment name to go directly to that investment, and make any necessary data changes.

ITDB warning message (returned from an ITDB validation check)

26

Major IT Business Case Validation & Submission (Step 4), Continued After all investments have passed ITDB validation, they are ready for submission. Use the checkboxes on the left to select the investments you wish to submit, then click the icon. You should receive this confirmation message when the Major IT Business Case is submitted:

ITDB submission confirmation

4

27

OMB Submission: Further Reading

Further Reading – Refer to the following sections of the eCPIC Admin & User Guides for additional details on the material covered in this training session: Admin Guide Section 4.4: Manage Business Logic Admin Guide Section 8.3: ITDB Configuration User Guide Section 9: OMB Submission

28

OMB Submission: Practice Exercises

Exercise Step

StepDescription

ReferenceSlides

Create submission

package

Create a new OMB submission package, and select a group of investments to include in the package.

5-6

Validate Agency IT Summary

Validate the Agency IT Summary that would be generated by the submission package. Explore any warnings or errors in the validation report. Export the validation report to Excel.

11-12

Generate Agency IT Summary

Generate an Agency IT Summary within eCPIC, and export the Agency IT Summary to Excel.

13-14

Validate and Generate Major IT Business

Case

Validate the Major IT Business Case that would be generated. Explore any warnings or errors in the validation report.

20-25

Exercise Objectives – Practice navigating and using the OMB Submission Module