NIFA Grants Modernization (Session #13)NIFA Grants Modernization (Session #13) By Michel Desbois Deputy Director, Office of Information Technology and Christopher Coppenbarger Office

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

Agenda

• Introductions

• NIFA’s Grant Modernization Initiative

• USDA Grants System

• Foreign Agricultural Service Success Story

• Where Does NIFA Go From Here?

1

1

Introductions

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

1

NIFA’s Grant Modernization

Initiative

Alignment with

NIFA’s Strategic Plan (2014-2018)

6

KEY

D

ELIV

ERA

BLE

S • Modernized grants management system • Streamlined & standardized processes for

administering competitive & non-competitive programs

• Reduced number of days for the grant award process

Goals of Grants Modernization

7

Strengthen financial oversight

Provide transparency and simplification of processes for

grantees

Allow for self-service capabilities

Promote a paperless

environment

Modernize our systems

Improve management and reporting of data

and results

Grants Life Cycle

Data

Visualization

• Easier to find new

patterns

• Open to public

Modernization

• Automated and

streamlined awards

process

Web Presence NIFA.USDA.GOV

• Reporting portal

• Easier navigation

• Integrated and

consistent

POST-AWARD /

TERMINATION AWARD PRE-AWARD

http://mediacommons.psu.edu/news/feed

10

Commercial Off-the-Shelf

Solutions

Continued NIFA Custom

Development

Related Agency Solutions

-NSF, DOE, NIH

USDA Grants

Evaluation of Alternatives

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

The Fit/Gap Analysis with NIH

was important because it helped

us map our business processes

and requirements.

12

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

Grants Modernization is important

because it transitions NIFA to USDA

Grants and it enhances NIFA and

stakeholder grants management

capabilities.

Implementation

Planning Team

Steering

Committee

Technology

Executive Board

Executive

Council

Communication

Subgroup

Nematode

Group 1

Nematode

Group 2

Nematode

Group 3

Nematode

Group 4

Nematode

Group 5

Implementation

Planning Leads

NIFA’s USDA Grants Implementation

Governance Structure

Temporary

Work Groups

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

1

USDA Grants System

Administration of the

Grants Lifecycle is an

Ongoing Challenge

Effective grants management involves

coordination amongst many stakeholders

and process steps

Payment &

Budget Mgmt Application

Processing

Outcomes

Evaluation

Grant Close

Out

Change

Management

Grant Recipient

Selection

Resources

Management

Reporting &

Analytics

Grant Terms

& Condition

Grants Management Lifecycle

.

Ongoing Challenges

Increased

Citizen

Expectations

Demand for

Efficiency and

Lowered

Complexity

Demands for

Accountability

and

Transparency

Inefficient Processes & Administration

• Limited Operational Visibility

• Lack of Transparency

• Limited Compliance

• Ineffective Complex Process

• Low Quality of Service

Inefficient Processes & Administration

Payment &


Processing

Outcomes

Evaluation

Grant Close

Out

Change

Management

Grant Recipient

Selection

Resources

Management

Reporting &

Analytics

Grant Terms

& Conditions

Holistic Grants Management Process

• Improved Service Delivery

• Improved Operational Visibility

• Improved Accountability & Transparency

• Increased Program Compliance

• Increased Efficiency, Lowered Complexity

Holistic Grants Management Process

Payment &


Processing

Outcomes

Evaluation

Grant Close

Out

Change

Management

Grant Recipient

Selection

Resources

Management

Reporting &

Analytics

Grant Terms

& Conditions

Management for

USDA Grants

Grants Management for USDA Grants

connects processes across departments

to produce a transparent, efficient, and

compliant grant program

Monitoring & Reporting:

Agreement Management:

Application/Assessment:

Planning:

Claim

Application

Program

Definition

Agreement

Change Request

Program Delivery Oversight Interaction with USDA Grants

Assessment

Review Review Repayment

Change Request

Change

Request

Change

Request

Financial Control

Payment Obligation

Commitment

Budgeting

Repayment

Management for USDA Grants

Expenditures

Program

Management 2

Assessment

Budgeting

7

4

3

5

1

8 6

Announcement

/ Application

Payment

Agreement

10

Close-Out

- Case Management

- Reporting/Monitoring

Claim

Repayment

Change Request

11

9 Audit

USDA Grants - Processes

1

Foreign Agricultural Service

(FAS) Success Story

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

USDA – FAS Grant Portfolio

• FAS supports and manages:

– 17 grant programs

– $2B+ in grant portfolio

– 300 grantees

– 1500 agreements in portfolio/year

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

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

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

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

Inefficient Processes

Financial Integrity

Customer Service

Regulatory and

Compliance

Issues

Key Grants Business Challenges

•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


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

Financial Integrity

Customer Service

Regulatory and

Compliance

Issues



Financial Integrity

•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

Customer Service

Regulatory and

Compliance

Issues



Financial Integrity

Customer Service

•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

Regulatory and

Compliance

Issues


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

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

USDA Grants Solution

42

Internal User Functionality

External User Functionality

Reporting

Program

Setup

Application

& Peer Review Award

Amendments &

Post Award Closeout

Financial Integration

Analytics

Ad

ditio

na

l Bu

sin

es

s A

rea

s


Financial Integrity

Customer Service

Regulatory and

Compliance

Issues

USDA Grants Solution and Benefits

•Unified solution to harness USDA’s Lean Six Sigma Grants Management Process

•Automated wide-range of Grants & Agreements processes, from program management to close-out

•Role-based processes and privileges


Financial Integrity

Customer Service

Regulatory and

Compliance

Issues



•Integration with financial system

•Central repository information maximizes service efficiency

•Reduced Unliquidated Obligations

Financial Integrity

Customer Service

Regulatory and

Compliance

Issues



Financial Integrity

•Integrated access to USDA Grants and financial transactions improves usability

•Single solution eliminates data redundancy and inefficiencies

•Increases user acceptance Customer Service

Regulatory and

Compliance

Issues



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

Overview of USDA Grants

Solution:

Comprehensive, flexible, customer-

driven focus which provides collaborative

opportunities across agencies

9

Client

Insight

Solution

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

Client

Insight

Solution

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

Client

Insight

Solution

USDA

NIFA


3. Proven Rapid & Flexible

On-Boarding

• Assessment approach to

define and order needs

based on business priorities

• Rapid, agile, and

demonstrated implement-

ation & on-boarding

approach tailors USDA

Grants to your organization

• Proven on-boarding and

enhancements team

9

Client

Insight

Solution

USDA

NIFA


4. Hybrid Platform

• Pega-powered grantee-

portal

• USDA Grants powered:

– Grants case tool

– Financials

– Data warehouse & reporting

• Virtualized, scalable

environments

9

Client

Insight

Solution

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

1

Where Does NIFA Go From

Here?

IMPORTANT: This is just an

example, NIFA can go faster,

slower, have different functionalities

at different times, etc.

21

Release 1B

Release 1A

Release 1C

NRCS’ Planned Schedule

21

Release 1B

Release 1A

Release 1C


Release 1A:

Months: 1-6

Build functionality for:

• Program Setup

• Award

• Post-award &

Monitoring (partial)

21

Release 1B

Release 1C


Release 1B

Months: 2-3, 6-12


• Post-award &

Monitoring (remainder)

• Closeout

21

Release 1B

Release 1C


Release 1C

Months: 13-18


• Reporting

USDA Grants

Implementation Phase

Current Activities

• Governance finalized and in place

• USDA Grants Assessment complete

• Finalizing timeline and road map

60

61

• Dec. 16: Kickoff mtg. w/ contractor

• Mar. 3: Mtgs .w/ NIFA staff completed

• Mid Apr.: Assessment delivered to NIFA

Assessment Phase

• May: Determine Implementation Path

Implementation Phase

Projected Timeline

Test Your Understanding

True or False?

1. USDA Grants will improve claims process

efficiency.

62


True or False?

1. USDA Grants will improve claims process

efficiency.

63


True or False?

2. USDA Grants can’t receive application

through Grants.gov.

64


True or False?

2. USDA Grants can’t receive application

through Grants.gov.

65


True or False?

3. USDA Grants will replace ASAP.

66


True or False?

3. USDA Grants will replace ASAP.

67


True or False?

4. USDA Grants allows grantees and AORs to

submit post-award requests (e.g. no cost

extensions).

68


True or False?

4. USDA Grants allows grantees and AORs to

submit post-award requests (e.g. no cost

extensions).

69


True or False?

5. All NIFA grant management systems will be

replaced by USDA Grants.

70


True or False?

5. All NIFA grant management systems will be

replaced by USDA Grants.

71

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:

[email protected]

72

mailto:[email protected]


Who to Contact

• Elizabeth Ley - Project Lead

– [email protected], 202-401-6195

• Pratima Boyapati – Co - Lead


• Susan Bowman – Co - Lead


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Questions?

74

Documents

NIFA Grants Modernization (Session #13)NIFA Grants Modernization (Session #13) By Michel Desbois Deputy Director, Office of Information Technology and Christopher Coppenbarger Office