NIFA Grants Modernization (Session #13)

Transcription

1 NIFA Grants Modernization (Session #13) By Michel Desbois Deputy Director, Office of Information Technology and Christopher Coppenbarger Office of Grants and Financial Management May 4, 2015

2 Agenda Introductions NIFA s Grant Modernization Initiative USDA Grants System Foreign Agricultural Service Success Story Where Does NIFA Go From Here? 1

3 Introductions 1

4 Introductions Michel Desbois Chief Information Officer, NIFA 18 years grants management system development 30 years IT software development experience Chris Coppenbarger, J.P., M.A. Senior Financial Advisor, NIFA FAS Grantor project lead & enterprise solution champion 11 years administering & working with federal grants 1

5 NIFA s Grant Modernization Initiative 1

6 KEY DELIVERABLES Alignment with NIFA s Strategic Plan ( ) Modernized grants management system Streamlined & standardized processes for administering competitive & noncompetitive programs Reduced number of days for the grant award process 6

7 Goals of Grants Modernization Strengthen financial oversight Provide transparency and simplification of processes for grantees Allow for selfservice capabilities Promote a paperless environment Modernize our systems Improve management and reporting of data and results 7

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9 Web Presence NIFA.USDA.GOV Reporting portal Easier navigation Integrated and consistent Modernization Automated and streamlined awards process Grants Life Cycle Data Visualization Easier to find new patterns Open to public PRE-AWARD AWARD POST-AWARD / TERMINATION

10 Evaluation of Alternatives Commercial Off-the-Shelf Solutions Related Agency Solutions -NSF, DOE, NIH Continued NIFA Custom Development USDA Grants 10

11 NIFA s Fit/Gap Analysis with NIH Identify where NIFA s and the National Institute of Health s (NIH s) business processes FIT and where they GAP Make a recommendation to either: go with NIH for our Grants Modernization Initiative or find a different solution. September 2014 decision made

12 The Fit/Gap Analysis with NIH was important because it helped us map our business processes and requirements. 12

13 Knowledge Gained from the Fit/Gap Analysis Financial oversight is a key driver USDA-wide solution is valuable High level business process maps and Critical to Quality (CTQs) measures are key starting points Business processes need further definition Strong communication strategies are essential to success 13

14 Grants Modernization is important because it transitions NIFA to USDA Grants and it enhances NIFA and stakeholder grants management capabilities.

15 Executive Council NIFA s USDA Grants Implementation Governance Structure Temporary Work Groups Steering Committee Implementation Planning Leads Implementation Planning Team Technology Executive Board Communication Subgroup Nematode Group 1 Nematode Group 2 Nematode Group 3 Nematode Group 4 Nematode Group 5

16 Work Products from Phase 1 (Completed April 2015) Requirements Traceability Matrix (RTM) list and description of high level requirements. Solution Map visual representation of the proposed solution including screens, workflows, and reports. Assessment Document description of requirements captured in the RTM, the Solution Map, and the proposed implementation strategy. 16

17 USDA Grants System 1

18 Administration of the Grants Lifecycle is an Ongoing Challenge Effective grants management involves coordination amongst many stakeholders and process steps

19 Grants Management Lifecycle Payment & Budget Mgmt Grant Recipient Selection Application Processing Reporting & Analytics Grant Terms & Condition Change Management Resources Management Grant Close Out Outcomes Evaluation

20 Ongoing Challenges Increased Citizen Expectations Demand for Efficiency and Lowered Complexity Demands for Accountability and Transparency

21 Inefficient Processes & Administration Limited Operational Visibility Lack of Transparency Limited Compliance Ineffective Complex Process Low Quality of Service

22 Inefficient Processes & Administration Payment & Budget Mgmt Grant Recipient Selection Application Processing Reporting & Analytics Grant Terms & Conditions Change Management Resources Management Grant Close Out Outcomes Evaluation

23 Holistic Grants Management Process Improved Service Delivery Improved Operational Visibility Improved Accountability & Transparency Increased Program Compliance Increased Efficiency, Lowered Complexity

24 Holistic Grants Management Process Payment & Budget Mgmt Grant Recipient Selection Application Processing Reporting & Analytics Grant Terms & Conditions Change Management Resources Management Grant Close Out Outcomes Evaluation

25 Management for USDA Grants Grants Management for USDA Grants connects processes across departments to produce a transparent, efficient, and compliant grant program

26 Management for USDA Grants Oversight Program Delivery Financial Control Interaction with USDA Grants Planning: Program Definition Budgeting Application/Assessment: Assessment Change Request Commitment Change Request Application Agreement Management: Agreement Change Request Obligation Payment Change Request Claim Monitoring & Reporting: Review Expenditures Repayment Review Repayment

27 USDA Grants - Processes 1 Program Management 2 Budgeting 3 Announcement / Application 4 Assessment 11 Close-Out - Case Management - Reporting/Monitoring 5 Agreement 10 Repayment 9 Audit 8 Payment 7 Claim 6 Change Request

28 Foreign Agricultural Service (FAS) Success Story 1

29 USDA FAS Mission Link U.S. Agriculture to the World to enhance export opportunities and global food security, providing the following support to people across the world: Capacity Building Food Security Market Development Reduction of Trade Barriers & Restrictions Agricultural Analysis Foreign Food Aid

30 USDA FAS Grant Portfolio FAS supports and manages: 17 grant programs $2B+ in grant portfolio 300 grantees 1500 agreements in portfolio/year

31 USDA FAS Grant Portfolio (cont d) Typical characterization of an agreement: 3-5 year agreement Amended 1-2 times/year Quarterly to yearly reports required Grantees primarily non-profits and universities 4-5 POCs per grant

32 USDA Lean Six Sigma Grants Management Process E-Government Presidential Directive to streamline grants move to digital Performed Gap Analysis to OMB Consortia (HHS Solution) Department-wide best practice model for grants management 32

33 USDA Lean Six Sigma Grants Management Process (cont d) Lean-Six Sigma process efficiencies Detailed requirements and process flow standard for USDA Gap analysis to USDA Grants solution and HHS System USDA Grants 91% fit Baseline for the FAS solution 33

34 FAS was a Model Agency to Adopt USDA Grants Arose from a need to address key grants business challenges faced by organizations across USDA & the Federal marketplace

35 Key Grants Business Challenges Inefficient Processes Financial Integrity Customer Service Regulatory and Compliance Issues

36 Key Grants Business Challenges Inefficient Processes Financial Integrity Customer Service Lack of automation, arduous & redundant manual data entry No Grantee Self-Service options Inconsistent & inefficient business review & approval processes Grants & Financial Reporting is arduous and inaccurate Regulatory and Compliance Issues

37 Key Grants Business Challenges Inefficient Processes Financial Integrity Customer Service Regulatory and Compliance Issues Two+ sources of financial truth Labor-intensive, error-prone postings across grant & financial systems Inability to quickly view and act upon grants financial data Financials not consistently aligned to CFDAs

38 Key Grants Business Challenges Inefficient Processes Financial Integrity Customer Service Grantees often served by different, non-connected systems Slow response time for routing grantee needs (e.g. payments) Too much time on administration, not enough on the mission Regulatory and Compliance Issues

39 Key Grants Business Challenges Inefficient Processes Financial Integrity Customer Service Regulatory and Compliance Issues Runaway grants Incorrect use of contract vehicles Missing contractual data Incomplete auditable historical records Limited, inaccurate labor intensive transparency reporting Payments allocated without appropriate progress reporting

40 Why USDA Grants Was Chosen Fully integrated USDA Grants solution with financial system of record (FMMI) Consolidated 3 General Ledger/financial processes into 1 integrated solution Enhanced transparency and visibility to payment and reporting, facilitating reconciliation, and easing closeouts

41 Why USDA Grants Was Chosen (cont d) Single source solution reduced operation and maintenance costs, development time and costs, licensing fees Enhanced functionality for future growth and scalability

42 USDA Grants Solution Program Setup Application & Peer Review External User Functionality Internal User Functionality Award Financial Integration Reporting Analytics Amendments & Post Award Closeout Additional Business Areas 42

43 USDA Grants Solution and Benefits Inefficient Processes Financial Integrity Customer Service Regulatory and Compliance Issues

44 USDA Grants Solution and Benefits Inefficient Processes Financial Integrity Customer Service Unified solution to harness USDA s Lean Six Sigma Grants Management Process Automated wide-range of Grants & Agreements processes, from program management to closeout Role-based processes and privileges Regulatory and Compliance Issues

45 USDA Grants Solution and Benefits Inefficient Processes Financial Integrity Customer Service Integration with financial system Central repository information maximizes service efficiency Reduced Unliquidated Obligations Regulatory and Compliance Issues

46 USDA Grants Solution and Benefits Inefficient Processes Financial Integrity Customer Service Integrated access to USDA Grants and financial transactions improves usability Single solution eliminates data redundancy and inefficiencies Increases user acceptance Regulatory and Compliance Issues

47 USDA Grants Solution and Benefits Inefficient Processes Financial Integrity Customer Service Regulatory and Compliance Issues Visibility and streamlined agreement management process Capture of agreement terms and conditions Consistent use of business practices and internal controls Pro-active monitoring - corrective action to fulfill policies and goals Enhanced compliance with regulatory requirements

48 Overview of USDA Grants Solution: Comprehensive, flexible, customerdriven focus which provides collaborative opportunities across agencies

49 USDA Grants Solution Solution Client Insight USDA NIFA 1. Business-Led Governance Structure Every customer has a seat on governance board Collaborative environment Through scale drive grants policy leadership in the Federal sector 9

50 USDA Grants Solution Solution Client Insight USDA NIFA 2. Experienced Team & Inclusive Operations Agency-led Tier 0 to accommodate unique business needs Pooled Tier 1-3 support teams to handle access issues and system issues, using scale to lower lights-on costs 9

51 USDA Grants Solution Solution Client Insight USDA NIFA 3. Proven Rapid & Flexible On-Boarding Assessment approach to define and order needs based on business priorities Rapid, agile, and demonstrated implementation & on-boarding approach tailors USDA Grants to your organization Proven on-boarding and enhancements team 9

52 USDA Grants Solution Solution Client Insight USDA NIFA 4. Hybrid Platform Pega-powered granteeportal USDA Grants powered: Grants case tool Financials Data warehouse & reporting Virtualized, scalable environments 9

53 USDA Grants Solution Solution Client Insight USDA NIFA 5. Broad & Flexible Grants Functionality Broad, full range of functionality across the grants lifecycle More capabilities planned and rolling out every 4 months 9

54 Where Does NIFA Go From Here? 1

55 IMPORTANT: This is just an example, NIFA can go faster, slower, have different functionalities at different times, etc.

56 NRCS Planned Schedule Release 1A Release 1B Release 1C 21

57 NRCS Planned Schedule Release 1A Release 1B Release 1C Release 1A: Months: 1-6 Build functionality for: Program Setup Award Post-award & Monitoring (partial) 21

58 NRCS Planned Schedule Release 1B Release 1C Release 1B Months: 2-3, 6-12 Build functionality for: Post-award & Monitoring (remainder) Closeout 21

59 NRCS Planned Schedule Release 1B Release 1C Release 1C Months: Build functionality for: Reporting 21

60 USDA Grants Implementation Phase Current Activities Governance finalized and in place USDA Grants Assessment complete Finalizing timeline and road map 60

61 Projected Timeline Dec. 16: Kickoff mtg. w/ contractor Mar. 3: Mtgs.w/ NIFA staff completed Mid Apr.: Assessment delivered to NIFA Implementation Phase May: Determine Implementation Path Assessment Phase 61

62 Test Your Understanding True or False? 1. USDA Grants will improve claims process efficiency. 62

63 Test Your Understanding True or False? 1. USDA Grants will improve claims process efficiency. 63

64 Test Your Understanding True or False? 2. USDA Grants can t receive application through Grants.gov. 64

65 Test Your Understanding True or False? 2. USDA Grants can t receive application through Grants.gov. 65

66 Test Your Understanding True or False? 3. USDA Grants will replace ASAP. 66

67 Test Your Understanding True or False? 3. USDA Grants will replace ASAP. 67

68 Test Your Understanding True or False? 4. USDA Grants allows grantees and AORs to submit post-award requests (e.g. no cost extensions). 68

69 Test Your Understanding True or False? 4. USDA Grants allows grantees and AORs to submit post-award requests (e.g. no cost extensions). 69

70 Test Your Understanding True or False? 5. All NIFA grant management systems will be replaced by USDA Grants. 70

71 Test Your Understanding True or False? 5. All NIFA grant management systems will be replaced by USDA Grants. 71

72 Final Comments It s a process and will take time Does not change existing constraints Congress, budget allocations, etc. Need your support to make it successful Submit Additional Comments/Questions to: grantsmod@nifa.usda.gov 72

73 Who to Contact Elizabeth Ley - Project Lead eley@nifa.usda.gov, Pratima Boyapati Co - Lead pboyapati@nifa.usda.gov, Susan Bowman Co - Lead sbowman@nifa.usda.gov,

74 Questions? 74