eGovernment

National Science Foundation Advisory Committee for Business and Operations

November 19, 2004

2

Meeting Purpose and Desired Outcomes

Purpose• To update the NSF Advisory Committee for

Business and Operations on e-gov initiatives.

• Primary focus will be the Grants Management Line of Business (GMLoB) and Grants.gov

Desired Outcomes• Obtaining the Committee’s advice on how best to

lead and participate in these transformational activities.

• Identify potential pitfalls as we move forward.

3

Grants.gov Status

• FIND– All 26 grant-making agencies are posting funding opportunities

through the FIND mechanism. – As of November 8, 2004, 1,592 funding opportunities have been

posted. Of these, NSF has posted 386 opportunities of which 223 are currently active. This is the highest number of submissions of any agency besides HHS.

• APPLY– 1,256 applications to 201 federal programs from 18 agencies have

been accepted via Grants.gov (11/04)– NSF-led effort to develop SF424 (Research & Related) forms. – Agency System to System Interface – Successfully tested with

several agencies, including NSF– Applicant System to System Interface – Gathering requirements,

Draft Implementation Guide

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NSF FastLane and Grants.gov

• NSF plans to begin to accept proposals through Grants.gov soon after the R&R forms are finalized.

• Will start with unsolicited programs

• Over 50 institutions to date have already expressed interest in submitting an application to NSF through Grants.gov!

5

Lines of Business Opportunities

• The following LOBs share core business requirements and similar business processes.

– Financial Management (FM)– Human Resources Management

(HR)– Grants Management (GM)– Federal Health Architecture (FHA)– Case Management (CM)

• April: RFI issued for FM, HR, GM • May: RFI responses received and

analyzed• June: Developed of Target Architecture

and Common Solution

Common Solution: A business process and/or technology based shared service made available to government agencies.

Business Driven (vs. Technology Driven): Solutions address distinct business improvements that directly impact LoB performance goals.

Developed Through Architectural Processes: Solutions are developed through a set of common and repeatable processes and tools.

Common Solution: A business process and/or technology based shared service made available to government agencies.

Business Driven (vs. Technology Driven): Solutions address distinct business improvements that directly impact LoB performance goals.

Developed Through Architectural Processes: Solutions are developed through a set of common and repeatable processes and tools.

OMB and the Line of Business Task Forces are focused on a business-driven, common solution developed through architectural processes.

OMB and the Line of Business Task Forces are focused on a business-driven, common solution developed through architectural processes.

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Grants Management Line of Business, Why Bother?

• Make life simpler for the grantees • Provide more applicants access to opportunities• Encourage needy parties to participate by

removing bureaucracy • Allow grant recipients to plan better year after year• Allow government to understand and

systematically improve the process• Assess impact of grants funds across different

agencies

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Objectives of the GM LoB Initiative

• Improve customer access to grant opportunities

• Increase efficiency of the submission process

• Improve decision-making

• Integrate with Financial Management processes

• Improve the efficiency of the reporting procedures

in order to increase the usable information content

• Optimize the post-award and closeout actions

8

Grants Process Overview

PRE-AWARDPRE-AWARD

• Access to status review

• Create / validate users• Receive applications / proposals / submissions, including

unsolicited proposals• Apply business rules & ensure administrative compliance• Authenticate submissions• Identify appropriate programs for consideration• Acknowledge receipt of proposal • Send submission updates

• Search / find & target opportunity• Form partnerships• Develop proposal & contents (E-submission)

Distribute solicitations / announcement / notificationSupport applicant – business and technical

• Establish submission process• Create / publish announcement

• Develop project / solicitation / announcement• Response back

Amount determination (apportionment and allocation)

• Information collection and clearance process• Establish milestone for completion of grant• Create forms

• Commit funds• Prepare award notice and obligate funds• Disburse funds• Funds control• Congressional notification and public announcement • Conduct business review (budget review)

• Setup financial obligations and tracking

• Access to status review

• Coordinate• Plan

Conduct reviews (Admin, Budget, Policy, Merit, Business, Application, Certifications, Assurances)

• Make award decision and provide review output• Notify Congress• Merit/peer review panelist support services

• Prepare reports in a timely manner• Focus messages on appropriate goals for sponsor• Program unique reports

• Conduct site visits & one-on-one interactions with project director

• Financial compliance review• Review program & reports • Risk assessment (portfolio management)• Audit tracking • Amendments / modifications • Conduct annual consultation• Grant administration• Administrative actions• Recapture and reallocate funds• Monitoring use of program income

12) Reports

11) Award Management & Oversight

• Submission of final reports • Financial reconciliation

• Distribution & archiving of records and grant reports• Link to financial management processes• Financial reconciliation (includes final audit review)• Enterprise Management Information Reporting• Recapture property owed to the government• Report inventions/copyrights• Identify best practices; share with others

AWARDAWARD POST - AWARD CLOSE - OUT

Process Flow Legend

Highly Generic

Generic With Flexible Business Rules/Data

Fully Tailored (Not currently applicable)

Circles indicate Grantee Functions

Squares indicate Agency Functions

• Notify / provide continuation applications

#

#

0) Pre Programming & Planning

1) Program Announcement

2&4) Find & Apply

3&5) Authenticate & Intake

6) Status & Update

7) Conduct Review & Decision

9) Award Fulfillment

8) In Process Status Review and Support

10) Receive Notification

13) Grantor Close-Out

14) Grantee Close-Out

1210862,4

11973,510

14

13

• Appeal step on allocation of non-competitive money••

••

PRE-AWARDPRE-AWARD

• Access to status review

• Create / validate users• Receive applications / proposals / submissions, including

unsolicited proposals• Apply business rules & ensure administrative compliance• Authenticate submissions• Identify appropriate programs for consideration• Acknowledge receipt of proposal • Send submission updates

• Search / find & target opportunity• Form partnerships• Develop proposal & contents (E-submission)

Distribute solicitations / announcement / notificationSupport applicant – business and technical

• Establish submission process• Create / publish announcement

• Develop project / solicitation / announcement• Response back

Amount determination (apportionment and allocation)

• Information collection and clearance process• Establish milestone for completion of grant• Create forms

• Commit funds• Prepare award notice and obligate funds• Disburse funds• Funds control• Congressional notification and public announcement • Conduct business review (budget review)

• Setup financial obligations and tracking

• Access to status review

• Coordinate• Plan

Conduct reviews (Admin, Budget, Policy, Merit, Business, Application, Certifications, Assurances)

• Make award decision and provide review output• Notify Congress• Merit/peer review panelist support services

• Prepare reports in a timely manner• Focus messages on appropriate goals for sponsor• Program unique reports

• Conduct site visits & one-on-one interactions with project director

• Financial compliance review• Review program & reports • Risk assessment (portfolio management)• Audit tracking • Amendments / modifications • Conduct annual consultation• Grant administration• Administrative actions• Recapture and reallocate funds• Monitoring use of program income

12) Reports

11) Award Management & Oversight

• Submission of final reports • Financial reconciliation

• Distribution & archiving of records and grant reports• Link to financial management processes• Financial reconciliation (includes final audit review)• Enterprise Management Information Reporting• Recapture property owed to the government• Report inventions/copyrights• Identify best practices; share with others

AWARDAWARD POST - AWARD CLOSE - OUT

Process Flow Legend

Highly Generic

Generic With Flexible Business Rules/Data

Fully Tailored (Not currently applicable)

Circles indicate Grantee Functions

Squares indicate Agency Functions

• Notify / provide continuation applications

#

#

0) Pre Programming & Planning

1) Program Announcement

2&4) Find & Apply

3&5) Authenticate & Intake

6) Status & Update

7) Conduct Review & Decision

9) Award Fulfillment

8) In Process Status Review and Support

10) Receive Notification

13) Grantor Close-Out

14) Grantee Close-Out

1210862,4

11973,510

14

13

• Appeal step on allocation of non-competitive money••

••

9

Possible Grants Operating Models

Alternative Description

1. Centralized Administrative Services

•Select service centers provide administrative support for Grants Management•Expected people and systems cost savings

2. Centralized Administrative and Program Services

•Select service centers provide administrative and programmatic support for Grants Management•Expected people and systems cost savings

3. Common Business Process supported by Shared Service Centers

•Agencies operate with common business processes in a decentralized manner•Technical centers of excellence provide ‘best of breed’ automated support•Over time, service capabilities for some functions may emerge; for now, though, systems cost is the big save

The following alternatives were considered….The following alternatives were considered….

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What is the Consortia-Based Approach?

• Align agency work teams around shared requirements (Consortia)

• Each consortium charged with evolving its business operations and technology in light of the common operating model

• Cross-consortia manager ensures commonalities are best leveraged across consortia, Grants.gov, and P.L. 106-107

11

Consortia-Based Approach

Consortium 1 Consortium 2 Consortium N

Service Center 1 Service Center 2 Service Center N

• Consortia provide leadership, business and program direction

• Service Centers provide technical solution and support through unique or shared service components

• Agencies and/or private industry compete to provide technology components

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Consortium LandscapeConsortium Potential Leaders

International / Overseas community Department of State

USAID

Research & Development NIH

National Science Foundation

Department Of Energy

Multiple grant types; process and system reengineering currently underway

Department Of the Interior

Department Of Justice

Department Of Labor

HHS

Education

Mandatory / non-discretionary Department of Transportation

EPA

Integrated procurement / grant solutions

Department of Defense

DOE (non R&D)

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Governance

Cross-consortia Manager (PMO)

CFO Working Group on Grants Governance

Consortium 1, 2, ..NP.L. 106-107 Grants.gov

• Grants.gov PMO

• Existing operating structure and procedures

• Consortia support • Evolving operating

structure and procedures

• Work groups • Existing operating

structure and procedures