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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
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 &
Budget Mgmt Application
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 &
Budget Mgmt Application
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
Inefficient Processes
Financial Integrity
Customer Service
Regulatory and
Compliance
Issues
Key Grants Business Challenges
Inefficient Processes
•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
Key Grants Business Challenges
Inefficient Processes
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
Key Grants Business Challenges
Inefficient Processes
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
Key Grants Business Challenges
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
Inefficient Processes
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
Inefficient Processes
Financial Integrity
Customer Service
Regulatory and
Compliance
Issues
USDA Grants Solution and Benefits
Inefficient Processes
•Integration with financial system
•Central repository information maximizes service efficiency
•Reduced Unliquidated Obligations
Financial Integrity
Customer Service
Regulatory and
Compliance
Issues
USDA Grants Solution and Benefits
Inefficient Processes
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
USDA Grants Solution and Benefits
Inefficient Processes
Financial Integrity
Customer Service
Regulatory and
Compliance
Issues
USDA Grants Solution and Benefits
•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
USDA Grants Solution
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
USDA Grants Solution
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
USDA Grants Solution
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
USDA Grants Solution
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
USDA Grants Solution
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
NRCS’ Planned Schedule
Release 1A:
Months: 1-6
Build functionality for:
• Program Setup
• Award
• Post-award &
Monitoring (partial)
21
Release 1B
Release 1C
NRCS’ Planned Schedule
Release 1B
Months: 2-3, 6-12
Build functionality for:
• Post-award &
Monitoring (remainder)
• Closeout
21
Release 1B
Release 1C
NRCS’ Planned Schedule
Release 1C
Months: 13-18
Build functionality for:
• 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
Test Your Understanding
True or False?
1. USDA Grants will improve claims process
efficiency.
63
Test Your Understanding
True or False?
2. USDA Grants can’t receive application
through Grants.gov.
64
Test Your Understanding
True or False?
2. USDA Grants can’t receive application
through Grants.gov.
65
Test Your Understanding
True or False?
3. USDA Grants will replace ASAP.
66
Test Your Understanding
True or False?
3. USDA Grants will replace ASAP.
67
Test Your Understanding
True or False?
4. USDA Grants allows grantees and AORs to
submit post-award requests (e.g. no cost
extensions).
68
Test Your Understanding
True or False?
4. USDA Grants allows grantees and AORs to
submit post-award requests (e.g. no cost
extensions).
69
Test Your Understanding
True or False?
5. All NIFA grant management systems will be
replaced by USDA Grants.
70
Test Your Understanding
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:
grantsmod@nifa.usda.gov
72
Who to Contact
• Elizabeth Ley - Project Lead
– eley@nifa.usda.gov, 202-401-6195
• Pratima Boyapati – Co - Lead
– pboyapati@nifa.usda.gov, 202-401-5620
• Susan Bowman – Co - Lead
– sbowman@nifa.usda.gov, 202-401-4324
73
Questions?
74
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