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Grants.gov and Research.gov at NSF & Government-wide Grants Initiatives. Andrea Norris Division Director IRM/DIS Mary Santonastasso Division Director BFA/DIAS November 9, 2006. Government-wide Grants Initiatives. Background. Grants.gov - PowerPoint PPT Presentation
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NSF and Government-wide Initiatives NSF and Government-wide Initiatives
Grants.gov and Research.gov at NSF & Government-wide Grants Initiatives
Andrea NorrisDivision Director IRM/DIS
Mary SantonastassoDivision Director BFA/DIAS
November 9, 2006
NSF and Government-wide Initiatives NSF and Government-wide Initiatives 2
Government-wide GrantsInitiatives
NSF and Government-wide Initiatives NSF and Government-wide Initiatives 3
Background
• Grants.gov
– Government wide Policy and Implementation Governing Structures for e-Grants Initiatives
– Grants.gov’s Purpose and Goals
– Current and Future Status
– How NSF has Implemented Grants.gov
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Background (Cont.)
• Grants Management Line of Business (GMLOB)
– What is the Grants Management Line of Business?
– GMLOB Purpose and Goals
– Current and Future Status
– NSF’s Diverse Roles in the GMLOB: Leading and Implementing
NSF and Government-wide Initiatives NSF and Government-wide Initiatives 5
The Federal Grant Streamlining Program
The Chief Financial Officers Council
Pre-Award Work GroupDepartment of Defense Chair
P.L. 106-107 PMOHHS
Grants Policy CommitteeNational Science Foundation and Energy
Co-Chairs
Interagency Committee onDebarment and Suspension
EPA Chair
CCR TeamEPA Chair
Mandatory Work GroupVacant Chair
Cost Principles TeamOMB Chair
Indirect Cost UniformGuidance Handbook Team
HHS Chair
Reporting Forms TeamNOAA Chair
Payment System IssuesNSF Chair
Post-Award Work GroupDOC/NOAA Chair
FAC Study (next steps)Energy Chair
Audit Policy IssuesNSF and Education
Co-Chairs
Audit Quality TeamEducation Chair
Compliance Supplement Team
HHS Chair
Audit Oversight Work GroupHHS Chair
Improper Payment IssuesDOT Chair
Database TeamChair
Certification TeamDOE Chair
Competencies TeamEducation and DOI
Co-Chairs
Training Curriculum Team
NSF Chair
Training and Oversight Work GroupHHS Chair
National Science andTechnology Policy Council
Research Business ModelsSubcommittee
Committee on Science
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Organizational StructureKeyExisting entity
To be launched
Governing body
Execution team
OMB
Grants Policy
Committee
Grants Executive Board
Go
vern
ance
Grants.gov PMO
Grants.gov Find and
Apply
GMLOB PMO
ACF Consortium
P.L. 106-107 Work Groups
Wo
rk G
rou
ps
Ser
vice
P
rovi
der
s
Exe
cuti
on
Tea
ms
NSF Consortium
Future Consortium
Future Consortium
DoED Consortium
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What is Grants.gov?
• A single source for finding grant opportunities
• A standardized manner of locating and learning more about funding opportunities
• A single, secure and reliable source for applying for Federal grants online
• A simplified grant application process with reduction of paperwork
• A unified interface for all agencies to announce their grant opportunities, and for all grant applicants to find and apply for those opportunities
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Grants.gov Current Status and Next Steps
• All 26 grant-making agencies are required to post all discretionary grant programs in the Grants.gov Find
• OMB has directed agencies to post in Grants.gov Apply:
– 75% of their funding opportunities in FY 2006;
– 100% of their funding opportunities in FY 2007.
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Grants.gov at NSF
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NSF Grants.gov Experience
• Started Integration in June 2005– Proposal submitted via Grants.gov look the same as a proposal
submitted via FastLane to programs and reviewers
• FY 05– 100% Posted on FIND– 25% Posted on APPLY (25% goal)
• FY 06– 100% Posted on FIND– 80% Posted on APPLY (75% goal)
• FY 07– 100% Posted on FIND– 100% Posted on APPLY (100% goal)
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NSF Grants.gov Experience (Cont.)
• NSF has received 597 application submissions through Grants.gov since June 2005.
• This count includes applications submitted to:– Four programs requiring submission through Grants.gov; and – 174 programs in FY 06 where submission through Grants.gov
was optional.
• When submission through Grants.gov was an option, 1% of the applicants chose to submit through Grants.gov.
• Of the 597 submissions, 325 applications were successfully inserted into FastLane (54% success rate).
• The 272 applications or 46 percent of applications that were not successful required the applicant to correct problems and resubmit.
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Success Factors
• Outreach to the community
• NSF’s Grants.gov Application Guide includes step-by-step instructions
• Help Desk Support – received almost 100 calls/e-mails requesting assistance
• 35 training sessions to NSF staff given by DIS and Policy office
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Lessons Learned
• Applicants submitting applications with attachments that are not in PDF.
• The PI or Co-PI typed their name differently in various portions of the application and the software could not tell if this was the same person or another individual.
• Problems with organizational registration if institution and its branches share the same DUNS
• Mac and UNIX issues – PureEdge solution being tested
• Applicants had varying success in submitting pro-posals, some taking as many as four attempts before successful insertion into FastLane.
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7. NSF downloads submitted application packages and validates and inserts the information into FastLane
5. AOR submits application package to Grants.gov
* Applicant or Researcher
1. Applicant* navigates to Grants.gov Website
2. Applicant searches for program announcements
3. Applicant finds a program announcement and downloads application package (PureEdge forms) and instructions
4. Applicant completes application package
6. Grants.gov sends confirmation to AOR
= NSF Activity
8. NSF sends confirmation to AOR and PI
Grants.gov Implementation
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NSF’s Grant Application Package
• SF 424 (R&R) Forms
• NSF Mandatory Forms– NSF Cover Page– NSF CheckList
• NSF Optional Forms– NSF Deviation Authorization– NSF Suggested Reviewers– NSF FastLane System Registration
• Coming Soon…– Biological Sciences Classification Form– Division of Undergraduate Education
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NSF Implementation in 2007
• Those programs designated required in 06 will remain required in 07
• Unless otherwise specified, optional submission for the vast majority of NSF programs
• Will not be used until a Grants.gov solution has been developed for:– Separately submitted collaborative proposals– Fellowship programs that require submission
of reference letters
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Required to be submitted through
Grants.gov in 2007
• Antarctic Artists and Writers (OPP)
• Scientific Computing Research Environments for the Mathematical Sciences (MPS)
• Living Stock Collections (BIO)
• Advanced Learning Technologies (CISE)
• CEDAR, GEM, and SHINE Postdoctoral Research (GEO)
• Research in Disability Education (EHR)
• Infrastructure Materials Applications and Structural Mechanics (ENG)
• Geography and Regional Science (SBE)
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Not Accepted Through Grants.gov
• NSF also does not accept applications through Grants.gov for:
– Submission of Letters of Intent and Preliminary Proposals– Changed/Corrected Applications– Revisions– Continuations– Supplemental Funding Requests
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What is GMLOB?
• A government-wide solution to support end-to-end grants management activities that promote citizen access, customer service, and agency financial and technical stewardship.
• System consolidation
• Interoperability
– Streamlined processes
– Standardized nomenclature
– Common interface touchpoints
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Why GMLOB?
• Transparency and efficiency in the grants decision making process
• Improved access to grants-related programmatic and financial information
• Enhanced ability to report on award-related accomplishments
• Improved post award monitoring and oversight
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How?
• Grants management community will process grants in a decentralized way using common business processes supported by shared technical support services.
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Roles and Responsibilities - Implementation
GMLOB PMO Consortia Leads Consortia Member Agencies
• Program planning, management and reporting
• Consortia activity coordination and support
• Consortia activity direction and management
• Common solution development
• Consortia participation
• Common solution development
• Consolidate GMLOB reporting and capital planning
• Conduct PMO activities – communication, governance support, planning
• Coordinate and support Consortia activities, service center implementation, and agency migration
• Facilitate work groups for government wide standardization and streamlining
• Gather and share lessons learned, best practices, and templates across Consortia
• Conduct research and analysis
• Provide planning, leadership, business, and program direction
• Establish and execute Consortium governance structure
• Manage Consortium resources
• Define requirements
• Provide acquisitions, implementation, and migration planning and support
• Identify risks and issues for resolution or escalation
• Define agency business and technical requirements
• Contribute to the development and delivery of work products
• Contribute resources (funding and/or FTEs) for program/project management, planning, development, and implementation
• Represent agency needs to the Consortia Leads and working groups
Ro
les
Res
po
nsi
bili
ties
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FY 2006 Activities
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Current Status
• Department of Education (ED)
– ED’s core competency is administering and managing thousands of grants that provide educational and vocational opportunities for all citizens.
– ED’s approach is unique in that consortium members will have the opportunity to participate in the design of a new, full lifecycle, end-to-end grants management system from the ground up.
– ED’s system will be built to work with a large volume of information and transactions suitable for larger grant-making agencies.
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Current Status (Cont.)
• Department of Health and Human Services (HHS) Administration for Children and Families (ACF)
– Seven agencies and over 80 grant programs already use HHS ACF’s Center of Excellence (COE), including USDA FSIS, HHS HRSA, and Treasury CDFI.
– HHS ACF’s systems incorporate all 14 GMLOB grant award processes both for awarding agencies and recipients as well as extensive and flexible post-award reporting mechanisms.
– HHS ACF’s systems can manage all types of grants and cooperative agreements, including “earmarks” and non-competitive projects.
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Current Status (Cont.)
• National Science Foundation (NSF)
– NSF will offer the Research.gov web portal that leverages its experience with Grants.gov and the Research and Related (R&R) initiative to provide access to functionality that benefits the research community.
– Research.gov focuses on the needs of the grantees by providing them with greater access to the government, streamlined functionality, and flexibility to account for differing agency research missions.
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Research.gov at NSF
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Grants Management Line of Business (GMLoB)
2005 2006 2007 2008
• NSF submits declaration of intent
• will study being a consortium lead
• 1st round: NSF picked, along with HHS/ACF, and Dept of Ed.
• NSF does
market research, submits business case
• charter consortium
• recruit agency partners
• sign MOUs • deploy services
NSF GMLoB CONSORTIUM TIMELINE
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NSF GMLoB Consortium:
Why Lead?
NSF Benefits Research Community Benefits
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NSF Environmental Considerations
Research Grants
Management and
AdministrationMission Impact
Funding and Other
Resource Constraints
Government-wide Policy
and Standards
Agency Needs and Priorities
Community Needs and
Expectations
Increasing Complexity
Political Pressures
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NSF GMLoB Consortium Guiding Principles
Research community must directly benefit from this initiative.
The approach will be deliberate, modular, conservative, and research community focused.
Low cost, high impact offerings that deliver value to grantees will be implemented first.
Capital investments in IT infrastructure will be minimized; intellectual investment in FastLane will be fully leveraged.
Services offered must provide a measurable benefit to NSF.
The initiative must focus on improvement; cost avoidance, not just cost savings.
Whatever we do, we are going to do it well.
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Research.gov Concept
NSF will lead a research-oriented consortium based upon GMLoB goals and the business needs of both partnering agencies and the grantee community.
• a collaborative agency partnership will govern the consortium and its resources
• Research.gov portal to provide a menu of services for conducting electronic grants business with Federal research agencies
• focuses on the needs of grantees while providing maximum flexibility to agencies
• recover O&M costs using a fee-for-service arrangement
NSF and Government-wide Initiatives NSF and Government-wide Initiatives 33
Research.gov Portal is A new Web portal for research institutions to conduct business with Federal research agencies
Initial capabilities may include:• Proposal status
• Project reports
• Federal financial reporting and payments
• PI profiles
• Research Focused “Find and Apply” services
Research.gov Portal
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TIMELINE
Research.gov Timeline
2006 2007 2008
• GMLoB Pilot with USDA/CSREES deployed
• Pilot demonstrates joint grant application status
• Gained both technical and business lessons-learned
• Establish hosting environment
• Pilot portal and initial set of services
• Portal and initial set of services deployed as production system
Conceptual service rollout plan
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Research.gov
Research.gov is important• Continues our leadership in advancing eGrants management initiatives
• Allows us to continue to evolve our grants management systems and work processes
• Tremendous support in community for improved “e-services” tailored to research community
Current Status• CSREES Pilot• OMB 300 Business Case
Future Initiatives• Develop Research.gov portal
• Release of grant application status module involving 2 or more research agencies
NSF and Government-wide Initiatives NSF and Government-wide Initiatives 36
• Leverages next generation of FastLane and GMLoB to fulfill vision of a single Web portal
• Provides grantee community greater access to the government and streamlined functionality
• Allows federal research agencies to sign up and offer services to their grantees using Research.gov tools
• Uses portal approach for maximum flexibility (helps account for differing agency strategies)
• Allows the best tools to be offered from any agency in the consortia
• Leverages proven functionality and expertise with minimal capital investment
Research.gov (Cont.)
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FY 2007 Goals
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Next Steps
• Institutionalize GMLOB initiative government-wide
• Deliver quality service to the grantee community
• Establish and maintain strong service provider/customer partnerships
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FY 2007 Priorities
• Standards and Streamlining– Develop standard roles and taxonomy– Define FM/GM interface standards– Define functions and subfunctions– Develop strategy for common post-award reporting services
• Communications and Outreach– Execute communication strategy to communicate GMLOB status
and direction to grant-making agencies
• Migrating Agency Support– Provide migrating agency guidance
• Identify Full Landscape of Consortia Leads
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FY 2007 Consortia Recommendation
Scope
Outcomes
Key Dates
• To name additional Consortia Leads that will provide grant managementtechnical services to the 26 grant-making agencies.
• To give the 26 grant-making agencies a voice in recommending additional Consortia Leads that will provide grant management technical services to them.
• Transparent process for recommending consortia
• Recommendation based on ability of recommended consortia to fill existing gaps in the consortium landscape
• Viable consortia with named partner(s)
February 2007
OMB announces new Consortia Leads
9/22/06
Recommendation submitted to OMB
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Backup Slides
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Federal Grants Milestones
Milestone NSF Role
PL106-107 passed to streamline and standardize grants process (1999)
NSF led and participated in multiple PL106-107 workgroups
Grants.gov initiated with a focus on Find and Apply (2002)
NSF provides leadership and resources to the effort
Standard funding opportunity developed and approved by OMB (2003)
NSF helped lead effort to develop standard format – used NSF Format as basis
SF 424 (Research and Related) developed and approved by OMB (2005)
NSF led effort to develop and coordinate among research agencies
CFO Council creates Grants Policy Committee (2005)
NSF Chairs Grants Policy Committee
Research project reports standard format launched under NSTC/RBM (2004)
NSF had significant role in format development, and now leads the effort
GMLoB establishes grants process flow and Consortia approach (2005)
NSF is co-managing partner for the GMLoB
OMB selects Consortia Leads (2006) NSF, HHS ACF, and DoED selected
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Current Status
Milestone Due Date
NSF develops grants strategy and business case for implementing GMLoB Consortia Lead role
June-August, 2006
Agencies submit GMLoB survey that provides detailed information on their grants management systems
August, 2006
NSF submits OMB 300 and FY08 budget submission September, 2006
2nd round of Consortia Selection commences September, 2006
NSF completes CSREES pilot September, 2006
Agencies declare intent to be a Consortia Lead or Member FY2006 Q4
OMB announces selection of 2nd round Consortia Leads February, 2007
Migrating agencies execute an MOU with Consortia Lead FY2007 Q1