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

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”.

Priority Why a priority this year?

Excellence in IT Management

AchievementsComprehensive plan that defines priority business support and infrastructure projects

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 investment planning process that is integrated with Agency budget and performance mgmt processes; new expanded CIO Advisory Council in place

6 submitted and accepted by OMB; 5 cases scored a “4” (on a 5 point scale)

Project on track with plans and OMB; continue to maintain Green on PMA

Clean FISMA audit; 100% major applications C&A’d; 96% of employees completed IT Security Awareness Training in FY04

AchievementsComprehensive plan that defines priority business support and infrastructure projects

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 investment planning process that is integrated with Agency budget and performance mgmt processes; new expanded CIO Advisory Council in place

6 submitted and accepted by OMB; 5 cases scored a “4” (on a 5 point scale)

Project on track with plans and OMB; continue to maintain Green on PMA

Clean FISMA audit; 100% major applications C&A’d; 96% of employees completed IT Security Awareness Training in FY04

Results

Results

FactorsIT Plan

Enterprise Architecture

IT Governance

IT Business Cases

Earned Value Management System

Security

FactorsIT Plan

Enterprise Architecture

IT Governance

IT Business Cases

Earned Value Management System

Security

The NSF IT Implementation Plan includes two primary areas of target technologies and technology governance

Applications & DataApplications & Data

• 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

• 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

InfrastructureInfrastructure

• 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

• 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• Technology Governance

The IT Implementation Plan provides guidance for improvements on most areas of user and infrastructural technologies

Shaded areas representImplementation Plan Projects

IT Implementation Plan areas of affect

Mobile

PDA

Browser

B/G2GGateway

Scientific Community &External Stakeholders

NSF Employees &Internal Contractors

NSF Portal

LDAP

Transactional Applications Analytical Applications

Transactional Databases

PresentationAccess

ChannelsStake-holders Consolidated/Integrated Application Tier

Financial

Prgm/Perft

EMSCRM

Discoveries

HR

Pen computer

Institutions

IdentityMgmt.

Application level Integration

Archive

Data WarehouseOperational Data Store

MDR Grants

Gra

nts

Man

agem

ent

Cus

tom

erR

elat

ions

hip

Man

agem

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Know

ledg

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anag

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Fina

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tem

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IT E

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anag

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Busin

ess

Inte

lligen

ce

Appl

icat

ions

Rep

ortin

g To

ols

E-m

ail/

Cal

enda

r/Sc

hedu

le

AnalyticalDatabases

Provisioning

HRI

S

Analytical InformationExtract, Transform, Load

Non-MajorApps & DBs

Proposals

Reviewers/

Panels

HRMLedger

Awards

CRM

Docs

Facilities

EMS

EVMS

LMSProcre-ment

E-mail

CM

S

NG

GM

S

CR

M

E-H

C

EMS

SIM

SIM

Telework

Mobile

PDA

Browser

B/G2GGateway

Scientific Community &External Stakeholders

NSF Employees &Internal Contractors

NSF Portal

LDAP

Transactional Applications Analytical Applications

Transactional Databases

PresentationAccess

ChannelsStake-holders Consolidated/Integrated Application Tier

Financial

Prgm/Perft

EMSCRM

Discoveries

HR

Pen computer

Institutions

IdentityMgmt.

Application level Integration

Archive

Data WarehouseOperational Data Store

MDR Grants

Gra

nts

Man

agem

ent

Cus

tom

erR

elat

ions

hip

Man

agem

ent

Know

ledg

e M

anag

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t

Fina

ncia

l Sys

tem

s

IT E

nter

pris

e M

anag

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t

Busin

ess

Inte

lligen

ce

Appl

icat

ions

Rep

ortin

g To

ols

E-m

ail/

Cal

enda

r/Sc

hedu

le

AnalyticalDatabases

Provisioning

HRI

S

Analytical InformationExtract, Transform, Load

Non-MajorApps & DBs

Proposals

Reviewers/

Panels

HRMLedger

Awards

CRM

Docs

Facilities

EMS

EVMS

LMSProcre-ment

E-mail

CM

S

NG

GM

S

CR

M

E-H

C

EMS

SIM

SIM

Telework

NSF IT Security Program

Vulnerability Assessment & Penetration Tests

Policies, Procedures & Plans

Intrusion Detection & CIRT

Certification & Accreditation

Security Awareness Training

Security Assessments, Audits & Controls

NSF IT Security Program

Continued Evolution of Next-Generation Grants and Financial Management

AchievementsOver 43K proposals received in FY04, nearly 100% electronically; increased electronic utilization in all areas

Dwell time 20 days less than legacy applications; declines processed electronically increased to 76% YTD FY05

Successful development of new capabilities including Dynamic Award Document (DAD) and Groove Virtual Office

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

AchievementsOver 43K proposals received in FY04, nearly 100% electronically; increased electronic utilization in all areas

Dwell time 20 days less than legacy applications; declines processed electronically increased to 76% YTD FY05

Successful development of new capabilities including Dynamic Award Document (DAD) and Groove Virtual Office

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

Results

Results

FactorsFastLane

EJacket

New Business Capabilities

E-Gov Initiatives

Customer Service

FactorsFastLane

EJacket

New Business Capabilities

E-Gov Initiatives

Customer Service

NSF’s grant management processes closely align to those of the Grants Management Line of Business and other eGovernment initiatives

• 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

Electronic Proposal Percent

By Fiscal Year (FY 97-04)

100

417

4481

99.6

FY97

FY98

FY99

FY00

FY01 FY02

99.96

99.99

FY03/04

FastLane

Continued Leadership of Government-Wide Grants Initiatives

Achievements

Leadership position, Committee on Grants Governance

Completion of initial tasking (business case) and positioned for role as Center of Excellence

100% funding opportunities posted

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

Achievements

Leadership position, Committee on Grants Governance

Completion of initial tasking (business case) and positioned for role as Center of Excellence

100% funding opportunities posted

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

Results

Results

FactorsGovernment-Wide Leadership• CFO Council

• Grants Management LOB

Grants.gov• Find

• Apply

Financial Staff/Support

E-Authentication

FactorsGovernment-Wide Leadership• CFO Council

• Grants Management LOB

Grants.gov• Find

• Apply

Financial Staff/Support

E-Authentication

•Access to status review

•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

•Search / find & target opportunity•Form partnerships•Get business & technical assistance from grantor•Develop proposal & contents (E –submission)

•Distribute solicitations•Support applicant during proposal development•Establish submission process•Create / publish announcement

•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

6) Status & Update

3&5) Authenticate & Intake

1) Program Announcement

2&4) Find & Apply

0) Pre Programming

13

10

7 9

PRE-AWARD

• Commit funds• Obligate funds• Disburse funds• Funds control•Congressional notification • Public announcement

9) Award Fulfillment

•Setup financial obligations and tracking

•Access to status review

• 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

10) Receive Notification

8) In Process Status Review and Support

7) Conduct Review & Decision

•Prepare reports in a timely manner•Focus messages on appropriate goals for sponsor•Program unique reports

• 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

12) Reports

11) Award Management & Oversight

•Submission of final reports •Financial reconciliation

•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

14) Grantee Close-out

13) Grantor Close-out

14

0 1 3,5

2,4 6 12

11

8

AWARD POST-AWARD CLOSE-OUT

Process Flow Legend

Highly Generic

Generic With Flexible Business Rules/Data

Fully Tailored

# Circles indicate Grantee Functions

# Squares indicate Agency Functions

Common Grants Management business processes hosted by Shared Service Providers using reusable technology components.

Common Grants Management business processes hosted by Shared Service Providers using reusable technology components.

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

Continued Leadership of Government-Wide Grants Initiatives

Accomplishments Indicators of SuccessWhy a Priority

Coming Attractions/Comments

Continued Evolution of Next-Generation Grants and Financial Management

Priority Initiatives

Improve ability to deliver high priority IT capabilities that advance mission performance and achieve cost, technical, and schedule goals.

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.

Updated IT Plan and EA; new governance process; FY07 business cases; establishment of PMO and more extensive use of EVMS

Excellence in IT Management

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 .

Nearly 100% proposals submitted electronically; dwell time 20 days less; established customer service metrics baselines ;conducted Financial Mgmt survey

Roll-out new capabilities for eJacket, Facilities Reporting, Project Reporting, Guest Travel. Implementation of next generation supporting infrastructure

Leverage lessons learned from FastLane experience; Preserve Federal leadership role in Grants processes and systems; Maintain FastLane as Federal-wide “standard”

Leadership role accomplished through CIO Council/GmLOB; Chair of Grants Policy Committee of CFO Council; Involvement in Grants.gov and E-Authentication initiatives

Invitation to be co-managing partner of GmLOB; Delivery of GmLOB Business case; Acceptance of GmLOB Business case; Funding opportunities posted on Grants.gov; E-Authentication pilot

Participating agency and possible lead for GmLOB consortia; Full implementation of Find and Apply on Grants.gov; Continued leadership in Grants Policy

Technology-Enabled Business Processes

Conclusion

NSF has demonstrated significant achievement in Technology-Enabled Business Processes.

backups

NSF Management Processes Link Enterprise Architecture, Capital Planning and Technology Governance

TechnologyGovernance

TechnologyStandards

Organizational Goals

Performance Measurement & Risk Mitigation

BusinessProcess CPIC

Lines of Business

(Sub)

Current Services

Current Technology

Target Services

Man

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Pro

cess

esE

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se

Arc

hit

ectu

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yste

ms

Arc

hit

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Technical Specifications

ComponentIntegration

Software &Hardware

Data

Business Specifications

Target Technology

Excellence in IT ManagementEnterprise Architecture (EA)

Excellence in IT ManagementEarned Value Management

Note: Green boxes indicate Earned Value requirements

Initiating

Scope Planning

Needs Statement

Performance Measurement

Planning

Project Charter

Project Management Plan (PMP)

Performance Measures

Schedule & Milestones

Detailed Cost Estimate

Organization

Quality

Schedule/Cost

Contract Management

Configuration Mgmt

Communications

Risk

Quality Control

Schedule/Cost Control

People/Resources

Change Control

Deliverables

Risk Control

WBS

Performance Measurement Analysis

Managing /Controlling

Planning

GMLOB Change Landscape

Rea

din

ess

Lo

w t

o H

igh

PayoffLow to High

NSFDOENIH

DOJDOC

USDAED

HHSHUD

State/USAID

DOLDOI

NSF’s Enterprise Architecture (EA) provides a holistic view of business processes, human capital and technology

environment

Strategy &Business Processes

Human Capital

Technology Infrastructure

The mission, vision, goals & objectives. Identification of all business processes, information flows, and data required

to support the business requirements

The applications, data and technical infrastructure that support the Agency’s business areas through the creation

and manipulation of information or data

The internal and external people and institutions that interact with the organization through the business

functions and the applications, data and infrastructure that support them

The mission, vision, goals & objectives. Identification of all business processes, information flows, and data required to

support the business requirements

The applications, data and technical infrastructure that support the Agency’s business areas through the creation and

manipulation of information or data

The internal and external people and institutions that interact with the organization through the business functions and the

applications, data and infrastructure that support them