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Closing FY 2009 Expired Funds-Update. SAC. May 28, 2014. Nieshia Blocker, OALM. Agenda. Closing FY 2009 PRISM Expired Lines-Update Proposed FY 2010 and Beyond Expired Lines Policy. NBS Final Close Execution and Closing FY 2009 PRISM Expired Lines Update . - PowerPoint PPT Presentation
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Closing FY 2009 Expired Funds-Update
SACMay 28, 2014
Nieshia Blocker, OALM
• Closing FY 2009 PRISM Expired Lines-Update• Proposed FY 2010 and Beyond Expired Lines
Policy
Agenda
2
All lines must be closed out by June 20th unless an exception has been requested.
NBS FINAL CLOSE PROGRAM • The NBS Final Close Program was not executed on May 9, 2014• NBS Validation executed on May 9, 2014
– No lines were closed • NBS Final Close Program tentatively scheduled for June 6, June 20, and July 11
– Exceptions are due by May 23, 2014
REPORTING• Released week of May 12, 2014
– ARRA Funds identified on TAB 1 (highlighted in yellow)– Details on the error messages and IC standings are located on the Back-Up slides
NBS Final Close Execution and Closing FY 2009 PRISM Expired Lines Update
3
Background• The number of Expired Lines has increased over the past three fiscal years.• A warranted acquisition official is the designated official with authority to close out
award lines; NBS currently allocates time and resources to this activity which results in an extended system downtime during closing in October
• Current Process– In the 5th year of these lines lifespan, OALM and NBS, in December, release
the current status of all lines expiring in September for that fiscal year.– Community has to address lines which have errors and are ineligible to be
closed via the automated process– The NBS Final Close program is executed several times between January and
September and closes all eligible lines unless an exception has been requested.
– Goal: By the 4th quarter of the 5th year All Lines are deobligated to $0.00 or the last billed amount has been received and that line has a “Passes Validation” message
Proposed FY 2010 and Beyond Expired Lines Policy
4
Program Planning and Management Branch (PPMB) conducted a survey and visited various stakeholders to seek input on the policy/system parameters for the NBS Final Close Program and the possibility for adding language to the Clearance of Personnel for Separation or Transfer form.
Survey• Based on the Terms and Conditions of the proposed policy, the survey focused on the
time, dollar, and frequency of the NBS Final Close Program• 48 Responses • Survey Audience included
– Acquisitions Management Committee (AMC) and Simplified Acquisitions Committee (SAC)– Budget Officers – Intramural/Extramural Administrative Officers– NBS Advocates
Community Feedback from Outreach• PPMB presented the proposed policy to the above groups standing meetings and
documented comments and feedback• Main discussions during the outreach sessions surrounded the proposed policy and Off-
boarding form
Survey and Outreach
5
Proposed Terms and Conditions: Any PRISM obligation open for two years or more, regardless of open dollar amount, is considered eligible to be closed out by the NBS PRISM Final Close Out Program that will be run on a quarterly basis.
Do you agree with the proposed policy that after two years any Prism line with no errors should be eligible to be automatically closed by the NBS Final Close Program?
Survey Results: Time
6
Proposed Terms and Conditions: Any PRISM obligation open for two years or more, regardless of open dollar amount, is considered eligible to be closed out by the NBS PRISM Final Close Out Program that will be run on a quarterly basis.
What would be the appropriate dollar threshold for PRISM lines that would be considered eligible to be closed-out by the NBS Final Close Program?
Survey Results: Dollar
7
Proposed Terms and Conditions: Any PRISM obligation open for two years or more, regardless of open dollar amount, is considered eligible to be closed out by the NBS PRISM Final Close Out Program that will be run on a quarterly basis.
What do you suggest should be the frequency of running the NBS Final Close Program to close-out these PRISM lines?
Survey Results: Frequency
8
Annual
Semi-Annual
Quarterly
50%
30%
19%
Reponses
*One respondent skipped the question
Community Feedback from Outreach Sessions
9
Category Feedback AssessmentContracts Cost Type contracts should be excluded from
the FY2010 Beyond process. This is possible. NBS would need to exclude the lines prior to executing the NBS Final Close Program.
Time Time frame should be between 3-4 years, rather than 2. A number of contracts (i.e. Cost Types) are still invoiced after 2 years and it would be a burden on a Purchasing Agent to have to check on these quarterly after 2 years. Simplified Acquisition Purchasing Agents are also doing p-card reconciliations and awards which have a critical time frame.
This is possible. NBS would need to exclude the lines prior to executing the NBS Final Close Program.
Proposed SYSTEM PARAMETERS should be used for FY2010 and Beyond
Decision Point
10
Parameters Community Recommendation
AMC Recommendation
Time 2 years 2 yearsDollar unlimited Less than $1,000
Frequency annually annuallyOther Exclude all cost type
awardsExclude all cost type
awards
October Year End Close Out
Expired Lines(5th Year)
FebruaryExpired Lines Policy
Implemented
MayYear End Close Out
Expired Lines(5th Year)
JuneYear End Close Out
Expired Lines(5th Year)
SeptemberYear End Close Out
Expired Lines(5th Year)
Implementation of Expiring Lines Policy: Timeline
11Graphic Version
NBS Validation Reports Released November - January
FY2010 and FY2011
FY 2010 and FY2011FY 2010 and F2011
FY2010 FY2010
NBS Validation Reports Released March and April
NBS Final Close Program ReportReleased May - September
FY2011 and 2012
FY 2011 and FY2012
FY2011FY2011
FY 2011 and FY2012
Should language be added to the NIH “Clearance of Personnel for Separation
or Transfer” form requiring that all actions are re-assigned to a current
Buyer, CO or Owner before staff leave NIH or transfer
12
Survey Question
Survey Results: Off-boarding Process
13
Do you believe there should be a statement/sentence on the NIH “Clearance of Personnel for Separation or Transfer” form instructing all NIH employees leaving NIH (or transferring to another IC/NIH organization) to re-assign their awards to active staff prior to their departure?
Yes, 83%
No, 17%
*One respondent skipped the question
Community Feedback: Off-boarding Process 3
14
Category Feedback Assessment
Process Transfers within NIH: Deactivate/ transferred in NED, NIH must generate a removal of all authorities from all systems in addition to reassigning document ownership in NBS.
Discussions needed concerning possible system solutions
Process Leaving NIH: When a person is deactivated in NED, the CO/Buyer should be removed from that award in NBS. COACs should check periodically (once a quarter) to ensure that active COs/Buyers are listed and inactive personnel are removed.
Discussions needed concerning possible system solutions
Process If a user is terminated or transfers to another IC, a list detailing awards associated with that user should be provided to the supervisor. • If a user is terminated, the supervisor should transfer
the awards to active staff• If a user transfers, that user should not be given
system access unless all awards have been re-assigned
Discussions needed concerning possible system solutions
Category Feedback AssessmentManagement/Enforcement
Supervisors should take a larger role to ensure items are closed out or re-assigned as required.
Require memo from Branch Chief through Director, Office of Acquisitions, listing the contracts and/or simplified acquisitions and to whom they’ve been reassigned.
Decision made by Head of Contracting Activity (HCA) on change in business policy
Reporting There should be a report that identifies awards by Buyer/CO.
Reports already in place:
ACQ – 13 – Awards by Buyer and SummaryACQ-14 – Awards by Buyer Details
Forms On the “Clearance of Personnel for Separation or Transfer” form, new Buyers/COs who own the awards should be listed.
This action is possible when OAMP develops final language
15
Community Feedback: Off-boarding Process 2
Final Decision
16
Decision Made: Division of Acquisition Policy and Evaluation (DAPE) will begin developing language for the NIH Clearance of Personnel for Separation or Transfer.
Back Up
17
Closing FY 2009 Expired Lines Update
18
Office of Acquisitions 2/11/2014 3/19/14 4/9/14 5/11/14OLAO 1,559 1,405 360 84NCI 670 598 438 364NIAID 939 679 664 508NLM 515 510 258 262NIDA 446 417 115 136NHLBI 356 350 156 189NICHD 323 317 153 157ORF 261 215 167 164CC 123 122 116 94NIEHS 91 55 25 16NITAAC 54 50 11 13NIDDK 16 15 61 10NIMH 8 8 21 4NIDCD 1 5 17 0NIA 6 3 6 3NEI 2 2 20 6
Closing FY 2009 Expired Lines Update 2
19
Office of Acquisitions 2/11/2014 3/19/14 4/9/14 5/11/14CIT - 89 2 0CSR - 6 4 0FIC - 10 5 0NCRR - 23 19 0NHGRI - 61 11 0NIAAA - 40 1 0NIAMS - 49 8 0NIBIB - 30 7 0NIDCR - 67 23 0NIGMS - 27 16 15NINDS - 134 5 0NINR - 9 5 4OD* - 323 - 63
ORS - 138 - 34Grand Total 5,104 4,751 2,694 2,126
*OD includes OTT
October Year End Close Out
Expired Lines(5th Year)
FebruaryExpired Lines Policy
Implemented
MayYear End Close Out
Expired Lines(5th Year)
JuneYear End Close Out
Expired Lines(5th Year)
SeptemberYear End Close Out
Expired Lines(5th Year)
Timeline
20
NBS Validation Reports Released November - January
NBS Validation Reports Released March and April
NBS Final Close Program ReportReleased May - September
FY2010 and FY2011
FY2010 FY2010
FY 2010 and FY2011FY 2010 and FY2011
Non Graphic Version
Questions
2009 Expiring Lines Questions
21
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