NSF FY 2005 Assessment: Organizational Excellence Technology-Enabled Business Processes NSF Advisory...
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Transcript of NSF FY 2005 Assessment: Organizational Excellence Technology-Enabled Business Processes NSF Advisory...
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
ent
Know
ledg
e M
anag
emen
t
Fina
ncia
l Sys
tem
s
IT E
nter
pris
e M
anag
emen
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
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
emen
t
Fina
ncia
l Sys
tem
s
IT E
nter
pris
e M
anag
emen
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
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
agem
ent
Pro
cess
esE
nte
rpri
se
Arc
hit
ectu
reS
yste
ms
Arc
hit
ectu
re
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