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”. PriorityWhy a priority this year?

Excellence in IT Management Achievements Comprehensive 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 Achievements Comprehensive 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 Factors IT Plan Enterprise Architecture IT Governance IT Business Cases Earned Value Management System Security Factors IT 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 & 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 Infrastructure 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

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

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 Achievements Over 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 Achievements Over 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 Factors FastLane EJacket New Business Capabilities E-Gov Initiatives Customer Service Factors FastLane 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 s and calls a year for IT Help Central Electronic Proposal Percent By Fiscal Year (FY 97-04) FY97 FY98 FY99 FY00 FY01FY 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 Factors Government-Wide Leadership CFO Council Grants Management LOB Grants.gov Find Apply Financial Staff/Support E-Authentication Factors Government-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 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 Reviewand 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 ,5 2, AWARDPOST-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.

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 Success Why 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.

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NSF Management Processes Link Enterprise Architecture, Capital Planning and Technology Governance Excellence in IT Management Enterprise Architecture (EA)

Excellence in IT Management Earned 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 Readiness Low to High Payoff Low to High NSF DOE NIH DOJ DOC USDA ED HHS HUD State/ USAID DOL DOI

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