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Public Law 106-107 Grants GMLoB Government-wide Standardization

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Public Law 106-107 Grants GMLoB Government-wide Standardization

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    1. 7/16/2012 1 Public Law 106-107 Grants.gov GMLoB Government-wide Standardization

    2. 7/16/2012 2 Agenda Overview of Initiatives Standardization Objectives Grants Streamlining Structure P.L. 106-107 Workgroup Efforts Pre-Award Post Award Training & Certification Audit Oversight Selected Resources

    3. 7/16/2012 3 Standardization One place for all grants administration policies Title 2 Code of Federal Regulations (CFR) One Catalog with all assistance programs listed Catalog of Federal Domestic Assistance (CFDA) registration required One Common Front-End Portal for finding and applying for grants Grants.gov Central Contractor Registry registration required Duns & Bradstreet Universal Number (DUNS) required Goals Policy and business process focus: Improve Effectiveness and Performance Simplify Application and Reporting Improve Delivery of Service Goals Policy and business process focus: Improve Effectiveness and Performance Simplify Application and Reporting Improve Delivery of Service

    4. 7/16/2012 4 Standardization (cont.) One announcement format of assistance opportunities Standard format, regardless of where posted Announcement synopses available electronically Grants Management Line of Business: common back-end systems for the post-award grants lifecycle (GMLoB) A business process and/or technology based shared service made available to government agencies. Common Post-Award reporting formats Goals Policy and business process focus: Improve Effectiveness and Performance Simplify Application and Reporting Improve Delivery of Service Goals Policy and business process focus: Improve Effectiveness and Performance Simplify Application and Reporting Improve Delivery of Service

    5. 7/16/2012 5 Grant Streamlining and Standardization Initiatives PL 106-107 Provide coordination/oversight of interagency initiatives through GPC Coordinate the agency’s annual report to Congress Implement work group products Grants Management Line of Business (GMLOB) Provide direction and coordination on the GMLOB Serve as one of the nine government LOBs Envision a common, end to end solution to support grantor and grantees Apply consortia-based approach based on shared business interests Grants.gov: E-Government initiative Improve access to services via the Internet Provide single unified storefront for finding and applying for grants Federal Financial Assistance Management Improvement Act of 1999 (FFAMIA) Grant Streamlining Initiative, or P. L. 106-107 for short 26 Federal Agencies Federal Financial Assistance Management Improvement Act of 1999 (FFAMIA) Grant Streamlining Initiative, or P. L. 106-107 for short 26 Federal Agencies

    6. 7/16/2012 6 The Federal Grant Streamlining Program

    7. 7/16/2012 7 Pre-Award Work Group Areas of Work Group Activity Announcements Suspension and debarment Policy framework (2 CFR) Certifications and assurances Awards

    8. 7/16/2012 8 Announcements of Funding Opportunities Issued Phase I format, final in June 2003 Government standard for organizing announcements Contains guidance on content of each section Helps potential applicant quickly find information it needs Issued data elements for synopses, final in June 2003 Is in use at Grants.gov FIND Plan a Phase II format, as a future product Will be updated for what was learned from Phase I use Will have added guidance—e.g., what is a late application and the effect of being late? Issued Phase I format, final in June 2003 Government standard for organizing announcements Contains guidance on content of each section Helps potential applicant quickly find information it needs Issued data elements for synopses, final in June 2003 Is in use at Grants.gov FIND Plan a Phase II format, as a future product Will be updated for what was learned from Phase I use Will have added guidance—e.g., what is a late application and the effect of being late? Issued Phase I format, final in June 2003 Government standard for organizing announcements Contains guidance on content of each section Helps potential applicant quickly find information it needs Issued data elements for synopses, final in June 2003 Is in use at Grants.gov FIND Plan a Phase II format, as a future product Will be updated for what was learned from Phase I use Will have added guidance—e.g., what is a late application and the effect of being late?

    9. 7/16/2012 9 Suspension and Debarment (S&D) Common Rule Work S&D in partnership with Interagency Suspension and Debarment Committee (ISDC) as the lead Updated common rule, issued final by agencies in November 2003 Uses plain language—clear rule better protects Federal programs Streamlines by making the use of certifications optional Separates drug-free workplace rule from S&D rule Work S&D in partnership with Interagency Suspension and Debarment Committee (ISDC) as the lead Updated common rule, issued final by agencies in November 2003 Uses plain language—clear rule better protects Federal programs Streamlines by making the use of certifications optional Separates drug-free workplace rule from S&D rule Work S&D in partnership with Interagency Suspension and Debarment Committee (ISDC) as the lead Updated common rule, issued final by agencies in November 2003 Uses plain language—clear rule better protects Federal programs Streamlines by making the use of certifications optional Separates drug-free workplace rule from S&D rule

    10. 7/16/2012 10 2 CFR – A Better Policy Framework Established 2 CFR in May 2004 Has OMB guidance in one subtitle Makes all of the guidance easy to find Stays as OMB guidance to agencies, not regulation Has agency rules implementing the OMB guidance for grants and agreements in second subtitle Will be single place to find agencies’ rules Still will be the rules that give the OMB guidance legal effect for recipients Established 2 CFR in May 2004 Has OMB guidance in one subtitle Makes all of the guidance easy to find Stays as OMB guidance to agencies, not regulation Has agency rules implementing the OMB guidance for grants and agreements in second subtitle Will be single place to find agencies’ rules Still will be the rules that give the OMB guidance legal effect for recipients Established 2 CFR in May 2004 Has OMB guidance in one subtitle Makes all of the guidance easy to find Stays as OMB guidance to agencies, not regulation Has agency rules implementing the OMB guidance for grants and agreements in second subtitle Will be single place to find agencies’ rules Still will be the rules that give the OMB guidance legal effect for recipients

    11. 7/16/2012 11 Phased Transition to 2 CFR Moved some guidance in current form Moved to Chapter II for interim, pending streamlining Moved A-110 in May 2004 Moved A-21, A-87, A-122 in August 2005 With ISDC, prepared adoptable S&D guidance for OMB Is first permanent part in Chapter I Interim final issued in August 2005, final soon Agencies to do adopting parts, remove common rule Plan on other guidance in Chapter I (e.g., A-133, lobbying, drug-free) Moved some guidance in current form Moved to Chapter II for interim, pending streamlining Moved A-110 in May 2004 Moved A-21, A-87, A-122 in August 2005 With ISDC, prepared adoptable S&D guidance for OMB Is first permanent part in Chapter I Interim final issued in August 2005, final soon Agencies to do adopting parts, remove common rule Plan on other guidance in Chapter I (e.g., A-133, lobbying, drug-free) Moved some guidance in current form Moved to Chapter II for interim, pending streamlining Moved A-110 in May 2004 Moved A-21, A-87, A-122 in August 2005 With ISDC, prepared adoptable S&D guidance for OMB Is first permanent part in Chapter I Interim final issued in August 2005, final soon Agencies to do adopting parts, remove common rule Plan on other guidance in Chapter I (e.g., A-133, lobbying, drug-free)

    12. 7/16/2012 12 Certifications and Assurances Developed certification/assurance statement Developed as a consolidated statement for Grants.gov Is in deployed SF-424 forms Plan to develop an integrated pre-award approach Would like to have the: Announcement alert potential applicants Application or CCR with what is needed before award Award address most as award terms Plan to recommend a policy once award terms are out Developed certification/assurance statement Developed as a consolidated statement for Grants.gov Is in deployed SF-424 forms Plan to develop an integrated pre-award approach Would like to have the: Announcement alert potential applicants Application or CCR with what is needed before award Award address most as award terms Plan to recommend a policy once award terms are out Developed certification/assurance statement Developed as a consolidated statement for Grants.gov Is in deployed SF-424 forms Plan to develop an integrated pre-award approach Would like to have the: Announcement alert potential applicants Application or CCR with what is needed before award Award address most as award terms Plan to recommend a policy once award terms are out

    13. 7/16/2012 13 OMB Guidance on Agency Awards Working on guidance to include: Standard organization for awards Wording of Ts and Cs for core set of admin requirements Wording of Ts and Cs for core set of national policy requirements Greater clarity on flowdown to subawards Definitions of terms used in current A-102/110, reconciled with other OMB guidance Working on guidance to include: Standard organization for awards (next slide) Wording of Ts and Cs for core set of admin requirements Wording of Ts and Cs for core set of national policy requirements Greater clarity on flowdown to subawards Definitions of terms used in current A-102/110, reconciled with other OMB guidance Working on guidance to include: Standard organization for awards (next slide) Wording of Ts and Cs for core set of admin requirements Wording of Ts and Cs for core set of national policy requirements Greater clarity on flowdown to subawards Definitions of terms used in current A-102/110, reconciled with other OMB guidance

    14. 7/16/2012 14 Improvements Over Current A-102 and A-110 Approach clearly distinguishes what speaks to agencies vs. recipients OMB guidance on use of Ts and Cs speaks to agency Agency speaks to awarding offices on Ts and Cs use in its implementation of guidance, does not reprint full text What speaks to a recipient is: Award notice with any award-specific Ts and Cs General Ts and Cs the awarding office maintains on the web OMB guidance with core Ts and Cs should greatly reduce fidelity problem due to multiple intervening tiers Approach clearly distinguishes what speaks to agencies vs. recipients OMB guidance on use of Ts and Cs speaks to agency Agency speaks to awarding offices on Ts and Cs use in its implementation of guidance, does not reprint full text What speaks to a recipient is: Award notice with any award-specific Ts and Cs General Ts and Cs the awarding office maintains on the web OMB guidance with core Ts and Cs should greatly reduce fidelity problem due to multiple intervening tiers Approach clearly distinguishes what speaks to agencies vs. recipients OMB guidance on use of Ts and Cs speaks to agency Agency speaks to awarding offices on Ts and Cs use in its implementation of guidance, does not reprint full text What speaks to a recipient is: Award notice with any award-specific Ts and Cs General Ts and Cs the awarding office maintains on the web OMB guidance with core Ts and Cs should greatly reduce fidelity problem due to multiple intervening tiers

    15. 7/16/2012 15 Payments Cost Principles Indirect Costs Reports Federal Financial Performance/Progress Research & Other than Research Real & Tangible Personal Property Inventions Post Award Work Group: Areas of Focus

    16. 7/16/2012 16 Our Objectives To develop complete and useful mechanisms to track and report on grant activities and funds To simplify reporting requirements To standardize, consolidate, and strengthen grant reporting

    17. 7/16/2012 17 Payments Survey of CFO Agencies 10 Active Civilian Systems serving 23 CFO Agencies Payment Management System (PMS) Users – 9 Agencies Automated Standard Application for Payment (ASAP) Users - 6 Agencies 8 Agencies with their own systems – no intention to move to ASAP or PMS Reasons included Specialization, Cost, Capabilities Cost Principles Modifications of A-122, A-87, and A-21 in May, 2004 Accomplishments to Date

    18. 7/16/2012 18 Payments Review the six systems approved through the OMB GMLoB or FMLoB for differences and compatibility Next Steps: Standardization of screens, terminology, processes. Goal is common access portal Cost Principles Develop indirect cost handbook for non-profit organizations to use as a guide in preparing indirect cost rate proposals Next Steps: Consider developing one set of cost principles, Finalize indirect cost handbook Post Award Reporting Six Forms developed Next Steps: Modify and finalize form/instructions/policy based on comments Work in Progress

    19. 7/16/2012 19 Post Award Reports One Standard Report for: Federal Financial Report (FFR) Real Property Report (RPSR) Tangible Property Report (TPR) Performance/Progress Report (PPR) Research Progress Report (RPR) Invention Summary Report Reports will be announced in a single OMB policy notice. Future Federal Register Paperwork Reduction Act (PRA) notices for the forms issued by reports sponsor. Comments on Reports addressed through PRA notice comment periods.Reports will be announced in a single OMB policy notice. Future Federal Register Paperwork Reduction Act (PRA) notices for the forms issued by reports sponsor. Comments on Reports addressed through PRA notice comment periods.

    20. 7/16/2012 20 Post Award Forms and Formats Post award reports are forms or formats. FORMS contain specific data elements that must be addressed per the instructions. FFR, RPSR, TPR FORMATS are sets of data elements that must be reported on, but allow for more variation in layout and content. PPR, RPR, Invention Summary Report

    21. 7/16/2012 21 Federal Financial Report (form) Proposed in Federal Register (FR) 4/8/03 Consolidates SF-269, SF-269-A, SF-272 and SF-272A Report covers cash management and financial reporting

    22. 7/16/2012 22 Real Property Status Report (form) Real Property Status Report for collection of real property information. Comprised of: Cover page Attachment A: Real Property Report details Attachment B: Disposition instructions Supplemental pages may be added

    23. 7/16/2012 23 Tangible Property Report (form) Tangible property is Federally owned property or equipment and supplies. Comprised of: Annual Report Cover page Final Report Attachment Disposition/Request Report Attachment Supplemental information page

    24. 7/16/2012 24 Performance/Progress Report (format) Government-wide standard for performance progress reporting except for research programs. Cover page and 5 attachments on program/project management (A), measures (B), activity based expenditures (C), and activity related reporting (D-E).

    25. 7/16/2012 25 Research Performance/Progress Report (format) Office of Science and Technology Policy and OMB collaboration Contains mandatory and optional data elements and reporting categories additional optional categories could be added for program-specific data

    26. 7/16/2012 26 Invention Summary Report (format) Data elements proposed in FR 10/30/2002 Some mandatory, some optional fields To be used eventually via a web-based report Proposal to have National Institute of Health’s iEdision system host report.

    27. 7/16/2012 27 Training and Certification: Objectives Our objectives include developing: A government-wide grants management series as a professional series under Office of Personnel Management guidelines A standard government-wide grants management profession competencies A government-wide grants management training curriculum The standards for a government-wide grants management certification program. A government-wide grants management professional database Issue: aligning the training and certification requirements across the government which will enable us to: Enhance the consistency and accuracy of the implementation of all grants policy/operations. Increase transparency in government programs Enhance the consistency of practices with regard to the implementation of P.L. 106-107, Grants.gov and Grants Management Line of Business streamlining efforts. Build a professional workforce that is competent and interchangeable between Federal Agencies Enhance government-wide succession planning efforts for the future grants management workforce. Issue: aligning the training and certification requirements across the government which will enable us to: Enhance the consistency and accuracy of the implementation of all grants policy/operations. Increase transparency in government programs Enhance the consistency of practices with regard to the implementation of P.L. 106-107, Grants.gov and Grants Management Line of Business streamlining efforts. Build a professional workforce that is competent and interchangeable between Federal Agencies Enhance government-wide succession planning efforts for the future grants management workforce.

    28. 7/16/2012 28 How We Operate This workgroup has four subgroups: Training subgroup which is researching the existing grants management training curriculums both within and outside of the federal government Competencies subgroup which is working to identify baseline government-wide core grants management competencies Certification subgroup which is researching various methodologies and best practices for implementation of a government-wide grants management certification program Grants Management Database subgroup which is currently researching the development of a government-wide grants management professional resource database.

    29. 7/16/2012 29 DRAFTS of: Grants Management Competencies Training Curriculum Survey was completed in early spring 2006. Grants Management Professional Series Grants Management Database White Paper Grants Management Professional Certification White Paper (in the works) Future Plans to work on and develop: Approval of a government-wide professional series Grants management courses Grants management certification program and implement it Grants management database Work in Progress/Next Steps

    30. 7/16/2012 30 Audit Oversight: Objectives Single audits that meet Federal oversight needs Single Audit Compliance Supplement with up-to-date information on Federal requirements Assure Federal audits are conducted as required, meeting quality standards Monitor Federal Audit Clearinghouse (FAC) services, suggesting enhancements and efficiencies for using the FAC Provide clear and easily understood information on the requirements of the Single Audit Act and OMB Circular A-133 Audits of Federal Assistance Programs Every entity that expends $500,000 or more of Federal assistance funds annually must complete an audit under OMB Circular A-133. The Audit Oversight Workgroup has the responsibility for ensuring that information is available to the grantees and their auditors in order for this audit to be performed and for determining that the procedures for receiving and processing the completed audits are in place and are working at Federal departments and agencies. Audits of Federal Assistance Programs Every entity that expends $500,000 or more of Federal assistance funds annually must complete an audit under OMB Circular A-133. The Audit Oversight Workgroup has the responsibility for ensuring that information is available to the grantees and their auditors in order for this audit to be performed and for determining that the procedures for receiving and processing the completed audits are in place and are working at Federal departments and agencies.

    31. 7/16/2012 31 How We Operate The Audit Oversight Workgroup is comprised of four teams: Compliance Supplement Team – prepares the annual compliance supplement for the A-133 audit Audit Quality Team – analyzes the quality of A-133 audits and the quality review process used by Federal agencies Audit Policy Team – addresses any issues related to the conduct of audits by independent auditors and the use of audits by Federal agencies Federal Audit Clearinghouse Team – analyzes the operation of the FAC and recommends improvements

    32. 7/16/2012 32 Annually updated and published the single audit compliance supplement used by auditors in auditing Federal assistance programs under OMB Circular A-133 including enhancements to more clearly articulate the Federal requirements Worked with the FAC to update the SF-FAC for reporting audit information, enhancing the reporting capabilities of information to Federal agencies, and to providing electronic access to the reporting packages submitted to the FAC by grantees Developed a plain-language pamphlet explaining the single audit process at http://harvester.census.gov/sac/ under Single Audit Reference Information. Distributed about 40,000 printed copies to recipients, Federal program managers, and others. Accomplishments to Date In conjunction with the President’s Council on Integrity and Efficiency (PCIE), performed quality control reviews on over 200 single audit reports from a broad range of entities that cover the entire grantee community.In conjunction with the President’s Council on Integrity and Efficiency (PCIE), performed quality control reviews on over 200 single audit reports from a broad range of entities that cover the entire grantee community.

    33. 7/16/2012 33 Analysis of the quality control reviews of single audits to be completed by December 2006 with a report to be issued in March of 2007. Draft guidance was developed to assist non-Federal entities and their auditors as well as cognizant and oversight agencies on Hurricane Katrina/Rita issues related to the OMB Circular A-133 single audits. The document provides guidance to non-Federal entities and their auditors on requesting waivers, extensions or other deviations from the requirements of the Circular and guidance to Federal cognizant and oversight agencies for audit in responding to such requests. Document is in final clearance. Work in Progress

    34. 7/16/2012 34 Address recommendations from the quality review of the single audits Work with the PCIE and the American Institute of CPAs on audit issues to clarify definitions and terms, audit procedures, and roles and responsibilities of Federal agencies in the audit process Continue to produce and publish the Compliance Supplement under OMB Circular A-133 Continue to work with the FAC to provide more efficient and timely processing of audit reports Future Efforts

    35. 7/16/2012 35 Questions?

    36. 7/16/2012 36 Selected Reference Sources P.L. 106-107 Website: The Act, Initial Plan, other initiative news and information http://www.grants.gov/aboutgrants/streamlining_initiatives.jsp Grants.gov website: http://www.grants.gov OMB Grants Website: http://www.whitehouse.gov/omb/grants/ Contact: Tyson Whitney: twhitney@omb.eop.gov, 202.395.3053

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