NSF FY 2005 Assessment:
Organizational Excellence
Technology-Enabled Business Processes
NSF Advisory Committee for
Business and Operations
May 5, 2005
The Organizational Excellence Goal
Organizational Excellence: An agile, innovative
organization that fulfills its mission through leadership
in state-of the-art business practices
• Technology-Enabled Business Processes: Utilize and
sustain broad access to new and emerging technologies for
business application.
• NSF has moved aggressively to adopt new technologies in our
business processes. NSF must sustain and further develop
exemplary mechanisms to streamline business interactions,
enhance organizational productivity, ensure accessibility to a
broadened group of participants, and maintain financial integrity
and internal controls.
Performance Framework:
Technology-Enabled Business Processes
Priority
Why a priority this year?
Excellence in IT
Management
Improve ability to deliver high
priority IT capabilities that advance
mission performance and achieve
cost, technical, and schedule goals,
in accordance with the NSF
Business Analysis.
Continued Evolution of
Next-Generation Grants
and Financial Management
Increase efficiency and
effectiveness of grants and financial
processes through technological
enhancements. Support e-Gov
initiatives.
Continued Leadership of
Government-Wide Grants
Initiatives
Leverage lessons learned from
FastLane experience; Preserve
Federal leadership role in Grants
processes and systems; Maintain
FastLane as Federal-wide
“standard”.
Excellence in IT Management
Factors
IT Plan
Achievements
Comprehensive plan that defines priority
business support and infrastructure projects
Enterprise Architecture
Comprehensive and complete baseline and
target architectures that is being used to guide
investments; OMB score of 2.25 with revised
plan due 5/05
IT Governance
Results
IT investment planning process that is
integrated with Agency budget and
performance mgmt processes; new expanded
CIO Advisory Council in place
IT Business Cases
6 submitted and accepted by OMB; 5 cases
scored a “4” (on a 5 point scale)
Earned Value Management System
Project on track with plans and OMB; continue
to maintain Green on PMA
Security
Clean FISMA audit; 100% major applications
C&A’d; 96% of employees completed IT
Security Awareness Training in FY04
The NSF IT Implementation Plan includes two primary areas of
target technologies and technology governance
Applications & Data
Infrastructure
• Next Generation Grants
Management
– End-to-end Integrated Grants
Processing
– New Reviewer Knowledgebase
– Configurable enterprise workflow
• E-Human Capital
• Strategic Information Management
– Data Warehousing & metadata
mgmt.
– Knowledge, content & document
mgmt.
– Collaborative environments
• E-Gov Initiatives
• Customer Relationship Management
• NSF Portal
– Distributed Authorship
– Single point of access for NSF
information
• Directory Services
– Single source of authentication &
sign-on
– Centralized identity mgmt. &
personalization
• Enterprise Management Systems
– Fault, Capacity, Availability,
Performance, Security & Inventory
Management
• Telework
• Enterprise Architecture
• Technology Governance
The IT Implementation Plan provides guidance for improvements on
most areas of user and infrastructural technologies
IT Implementation Plan areas of affect
Consolidated/Integrated Application Tier
Analytical
Applications
Transactional Applications
Telework
Pen computer
Scientific Community &
External Stakeholders
Provisioning
Review
ers/
Panels
Docs
Facilitie
s
SIM
EMS
E-mail/
Calendar/
Schedule
IT Enterprise
Management
HRIS
E-HC
Knowledge
Management
Propos
als
Ledger
HRM
EMS
Procrement
LMS
CRM
E-mail
Non-Major
Apps & DBs
Browser
Awards
EVMS
Institutions
Transactional Databases
Extract, Transform, Load
B/G2G
Gateway
Operational Data Store
Shaded areas represent
Implementation Plan Projects
SIM
MDR
Analytical
Databases
Data Warehouse
CRM
EMS
HR
Grants
Archive
Discove
ries
Prgm/
Perft
Financi
al
Analytical Information
Identity
Mgmt.
CMS
LDAP
Customer
Relationship
Management
PDA
CRM
NSF Employees &
Internal Contractors
Grants
Management
Application level Integration
NSF
Portal
NGGMS
Mobile
Reporting Tools
Presentation
Business Intelligence
Applications
Access
Channels
Financial Systems
Stakeholders
NSF IT Security Program
Vulnerability
Assessment &
Penetration Tests
Intrusion
Detection & CIRT
Policies,
Procedures &
Plans
NSF IT Security
Program
Certification &
Accreditation
Security
Awareness
Training
Security
Assessments,
Audits & Controls
Continued Evolution of Next-Generation Grants and Financial
Management
Achievements
Over 43K proposals received in FY04, nearly
100% electronically; increased electronic
utilization in all areas
Factors
FastLane
Dwell time 20 days less than legacy
applications; declines processed
electronically increased to 76% YTD FY05
EJacket
Successful development of new capabilities
including Dynamic Award Document (DAD)
and Groove Virtual Office
New Business Capabilities
Results
E-Gov Initiatives
Customer Service
Successful roll-out of FPPS (E-Payroll) and
FedTraveler.com (E-Travel). Continued
support of E-Authentication, E-Training, and
Grants, Financial and HR Lines of Business
Baseline customer-care metrics established in
FY04; gave OIRM Customer Satisfaction
Survey in September 2004 and Financial
Management Survey from March-May 2005
NSF’s grant
management
processes
closely align
to those of
the Grants
Management
Line of
Business
and other
eGovernment
initiatives
FastLane
•
•
•
•
•
•
•
•
•
Over 43,000 Electronic Proposals Received
200,000 Electronic Reviews
26,000 Electronic Grantee Progress
Reports
9,000 Electronic Graduate Research
Fellowships
16,000 Electronic Cash Requests
$3.7 Billion Distribution of Funds
7,000 Registered FastLane Organizations
250,000 Registered FastLane Users
Provide customer care support for over 140,000
emails and calls a year for IT Help Central FY98
Electronic Proposal Percent
By Fiscal Year (FY 97-04)
FY97
4
17
FY01
FY02 FY03/04
FY00
99.99
99.96
FY99
44
100
99.6
81
Continued Leadership of Government-Wide Grants Initiatives
Factors
Government-Wide Leadership
• CFO Council
Achievements
• Grants Management LOB
Completion of initial tasking (business case)
and positioned for role as Center of Excellence
Leadership position, Committee on Grants
Governance
100% funding opportunities posted
Grants.gov
• Find
• Apply
Financial Staff/Support
E-Authentication
Results
Submitted R&R data to OMB; Completed NSF
interface with Grants.gov; Conducted user
end-to-end testing; Identified 15 programs that
will submit application packages via Apply
Support of E-Initiatives, CFO/CIO Councils,
Research Business Model working groups,
FDP
Completed pilot through Grants.gov with
USDA; working to accept credentials on
FastLane by July 2005
Common Grants Management business processes hosted by Shared Service
Providers using reusable technology components.
PRE-AWARD
0
AWARD
POST-AWARD
CLOSE-OUT
1
3,5
7
9
11
13
2,4
6
8
10
12
14
0) Pre Programming
7) Conduct Review & Decision
11) Award Management & Oversight
13) Grantor Close-out
• Develop project/solicitation
• Response back
• Appeal step on allocation of non
-competitive money
• Clearance process
• Establish milestone for completion of grant
•Information collection clearance
• Create forms
• Coordinate
• Plan
• Conduct reviews (Admin, Budget, Policy, Merit, and
Business Reviews)
• Make award decision and provide review output
• Notify Congress
• Merit/peer review panelist support services
• 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
•Distribution & archiving of grant reports
• Link to financial management processes
• Financial reconciliation
• Enterprise Management Information Reporting
• Recapture property owed to the government
•Report inventions/copyrights
•Identify best practices; share with others
1) Program Announcement
8) In Process Status Review and Support
•Distribute solicitations
•Support applicant during proposal development
•Establish submission process
•Create / publish announcement
• Access to status review
9) Award Fulfillment
• Search / find & target opportunity
• Form partnerships
•Get business & technical assistance from grantor
• Develop proposal & contents (E
–submission)
• Commit funds
• Obligate funds
• Disburse funds
• Funds control
• Congressional notification
• Public announcement
10) Receive Notification
3&5) Authenticate & Intake
•Setup financial obligations and tracking
2&4) Find & Apply
• Create / validate users
•Receive applications / proposals and unsolicited proposals
•Apply business rules & assure administrative compliance
•Authenticate submissions
•Identify appropriate programs for consideration
• Acknowledge receipt of proposal
• Send submission updates
6) Status & Update
• Access to status review
14) Grantee Close-out
• Submission of final reports
• Financial reconciliation
12) Reports
• Prepare reports in a timely manner
• Focus messages on appropriate goals for sponsor
• Program unique reports
Process Flow Legend
#
#
Circles indicate
Grantee Functions
Squares indicate
Agency Functions
Highly Generic
Generic With Flexible Business
Rules/Data
Fully Tailored
Grants.gov Current Status and Next Steps
• Deployed APPLY functionality
• As of April 11, 2005, 2872 applications to 753
Federal programs from 21 agencies have been
accepted via Grants.gov
• Agency System to System Interface – Successfully
tested with several agencies including NSF
• OMB Clearance has been received on the SF 424
(R&R)
• Agencies are working on implementation:
• Development of agency specific forms and
Instruction packages
Grants.gov and NSF FastLane
• Interface was tested by NSF user community from
April 4-15, 2005
• By late Spring 2005, NSF will be able to accept
proposals through Grants.gov
• 15 application packages will be posted to Grants.gov
for submission to NSF in FY 2005
Technology-Enabled Business Processes
Priority Initiatives
Excellence in IT
Management
Continued Evolution
of Next-Generation
Grants and Financial
Management
Why a Priority
Improve ability to deliver
high priority IT
capabilities that advance
mission performance and
achieve cost, technical,
and schedule goals.
Accomplishments
Indicators of
Success
Following IT Plan,
refinement and use of
EA, on track with OMB
for EVMS, high quality
business cases and
strong security posture.
IT plan and EA in place
and being used, CIO
Advisory Board, all
business cases approved
by OMB, 100%
applications C&A’d.
Increase efficiency and
effectiveness of grants
and financial processes
through technological
enhancements. Support
e-Gov initiatives.
Increased electronic
usage by customers, new
system enhancements,
E-gov rollouts (E-Travel,
E-Payroll) and continued
support .
Leverage lessons learned
Leadership role
accomplished through
CIO Council/GmLOB;
Chair of Grants Policy
Committee of CFO
Council; Involvement in
Grants.gov and EAuthentication initiatives
Continued Leadership from FastLane
of Government-Wide experience; Preserve
Grants Initiatives
Federal leadership role in
Grants processes and
systems; Maintain
FastLane as Federalwide “standard”
Nearly 100% proposals
submitted electronically;
dwell time 20 days less;
established customer
service metrics baselines
;conducted Financial
Mgmt survey
Invitation to be comanaging partner of
GmLOB; Delivery of
GmLOB Business case;
Acceptance of GmLOB
Business case; Funding
opportunities posted on
Grants.gov; EAuthentication pilot
Coming
Attractions/
Comments
Updated IT Plan and EA;
new governance process;
FY07 business cases;
establishment of PMO
and more extensive use
of EVMS
Roll-out new capabilities
for eJacket, Facilities
Reporting, Project
Reporting, Guest Travel.
Implementation of next
generation supporting
infrastructure
Participating agency and
possible lead for GmLOB
consortia; Full
implementation of Find
and Apply on Grants.gov;
Continued leadership in
Grants Policy
Conclusion
NSF has demonstrated significant achievement in
Technology-Enabled Business Processes.
backups
Excellence in IT Management
Enterprise Architecture (EA)
Enterprise
Architecture
Organizational
Goals
Lines of
Business
(Sub)
Systems
Architecture
Management
Processes
NSF Management Processes Link Enterprise Architecture, Capital Planning and
Technology Governance
Business
Specifications
Business
Process
CPIC
Current
Services
Technical
Specifications
Technology
Governance
Target
Services
Technology
Standards
Current
Technology
Component
Integration
Data
Performance
Measurement &
Risk Mitigation
Target
Technology
Software &
Hardware
Excellence in IT Management
Earned Value Management
Initiating
Planning
Managing /
Controlling
Organization
Deliverables
Needs Statement
Performance
Measures
Communications
Quality Control
Quality
Scope Planning
Risk Control
WBS
Schedule &
Milestones
Risk
Schedule/Cost Control
Performance
Measurement
Planning
Schedule/Cost
Detailed Cost
Estimate
Contract Management
People/
Resources
Project Charter
Configuration Mgmt
Change Control
Project Management Plan
(PMP)
Performance
Measurement Analysis
Note: Green boxes indicate Earned Value requirements
GMLOB Change Landscape
NSF
USDA
DOE
ED
NIH
State/
USAID
Low to High
Readiness
DOJ
DOC
DOL
DOI
HUD
Payoff
Low to High
HHS
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