Section 5 Grants Pilot Overview November 20, 2015 HHS DAP Section 5 Grants Pilot Town Hall

2 Purpose Meeting Purpose & Agenda Section 5 Pilot RequirementsSection 5 Grants Pilot Approach & FrameworkSection 5 Grants Pilot Test ModelsAdvocacy Group EngagementQuestions Agenda To provide an overview of the Section 5 Grants Pilot Framework, describe the test models, and identify opportunities for engagement.

The goal of the Pilot is to implement Section 5 of the Digital Accountability and Transparency Act (DATA Act) of 2014, Pub. L. No , which requires the Federal Government to, “ establish a pilot program with the participation of appropriate Federal agencies to facilitate the development of recommendations for – 3 Section 5 Pilot Requirements (A) standardized reporting elements across the Federal government (§5(b)(1)(A)); (B) the elimination of unnecessary duplication in financial reporting (§5(b)(1)(B)); (C) the reduction of compliance costs for recipients of Federal awards (§5(b)(1)(C)).” The Office of Management and Budget (OMB) has engaged HHS to serve as the executing agent for the Section 5 Grants Pilot.

4 Developing the S-5 Grants Pilot – Approach & Framework Section 5 Grants Pilot Framework Collecting feedback through the National Dialogue. Analyzing data standards. Testing models like C-DERL, Single Audit, Consolidated FFR, and Learn Grants—GIG, and other models as appropriate. Each component of the framework interacts with and informs the others. Time frames associated with each test model will align with legislative requirements to execute the pilot by May 2017, and support OMB’s report due to Congress by August HHS DAP created the Section 5 Grants Pilot Framework, which takes a holistic approach to meeting the Section 5 Pilot Goals by:

5 Section 5 Grants Pilot: Test Models

6 Common Data Element Repository Library (C-DERL) – 1 What is the hypothesis? Hypothesis: If grantees are provided with definitions of data elements using C-DERL, then they will be able to accurately complete forms in a timely manner. What is the test model? Summary: HHS will test whether there is a difference in recipient burden associated with completing government forms between participants with access to C-DERL and those without access to C- DERL. Metric: Time to complete forms/survey results. Is there additional information relevant to this test model? One example of C-DERL’s progress is that the approved data element definition for Award Identification Number encompasses prior definitions for varying terms including Grant Number, Federal Grant/Other Identifying Number, and Grant Award Number. What is C-DERL? C-DERL is an application designed to be a federal-wide, online repository for data standards, definitions, and context. C-DERL provides a forum to engage federal and public stakeholders in further defining federal financial and business terms/definitions inclusive of agreed-upon standardized data elements. Legislation Alignment: C-DERL addresses implementation of standardized reporting elements and can be leveraged to reduce unnecessary duplication in reporting, which reduces grantee burden.

7 Common Data Element Repository Library (C-DERL) – 2 What is the hypothesis? Hypotheses: If duplication across forms can be identified using C- DERL, then agencies can update/reduce forms to reduce grantee burden. Agencies can use C-DERL to identify changes in data element definitions and update forms to comply with the DATA act and standardize reporting elements. Applying standard definitions of data elements will eliminate disparate data definitions across forms for the same data elements. What is the test model? Summary: Agencies can use C- DERL to identify changes in data element definitions and duplicative fields across forms and then consult PRA to update/reduce forms required by grantees and therefore reduce grantee burden. Metric: Number of duplicative or revised fields across forms. Is there additional information relevant to this test model? Currently, C-DERL can identify data elements within the universe of grant forms. Forms using similar data elements can then be reviewed for common use. Legislation Alignment: C-DERL addresses implementation of standardized reporting elements and can be leveraged to reduce unnecessary duplication in reporting, which reduces grantee burden. What is C-DERL? C-DERL is an application designed to be a federal-wide, online repository for data standards, definitions, and context. C-DERL provides a forum to engage federal and public stakeholders in further defining federal financial and business terms/definitions inclusive of agreed-upon standardized data elements.

8 What is the hypothesis? Hypothesis: If grantees do not have to enter the same data on two different forms through two different reporting avenues, then grantee burden will be reduced and data accuracy will be improved. What is the test model? Summary: HHS will survey Administration for Children and Families (ACF) grant recipients on experiences and efficiencies when submitting a consolidated FFR via Payment Management System (PMS) and compare that to survey results for ACF grant recipients not reporting on a Consolidated FFR. Metric: Survey results. Is there additional information relevant to this test model? The Grant Report Information Project (GRIP) report, published in 2013, recommends further testing the objective of centralized financial reporting for grantees. What is the Consolidated FFR? The Consolidated FFR will allow grantees to submit the FFR form in one system, rather than in multiple entry systems. This will allow for a single point of data entry, earlier validation of FFR data, and a potential future streamlining of the close-out process. Legislation Alignment: The Consolidated FFR reduces grantee burden by eliminating unnecessary duplication. Consolidated Federal Financial Reporting (FFR)

9 What is the hypothesis? Hypothesis: If grantees do not have to report the same information on duplicative forms (i.e. SEFA vs. SF-SAC), then grantee burden will be reduced. What is the test model? Summary: HHS will facilitate a Single Audit professional-led guided discussion regarding changes to the Single Audit reporting process. HHS will solicit feedback from participants regarding the potential impact of the proposed draft form. Metric: Focus group feedback/ Survey results. Is there additional information relevant to this test model? A final Long Form will not be implemented within the time frame of the Section 5 Grants Pilot; however, a draft form will be available for the guided focus group discussion. What is the Single Audit? The Single Audit is a financial statement audit of an organization’s federal funds. The Single Audit is intended to provide assurance to the Federal Government that a recipient has internal controls and compliance over these funds. Single Audit – 1 Legislation Alignment: Single Audit addresses standardized reporting for grantees, reduced duplication in financial reporting, and reduced grantee burden.

10 What is the hypothesis? Hypothesis: If grantees have a common Notice of Award (NOA) Cover Sheet for federal awards, then grantee burden may be reduced by facilitating access to standardized data needed to populate Single Audit information collections. What is the test model? Summary: HHS will utilize a common NOA cover sheet and compare grantee reporting burden using the common NOA to grantees who do not. Metric: Form completion time/ Survey results. Is there additional information relevant to this test model? Grants.gov is developing a common NOA cover sheet that could be leveraged for the test model. Timing of this process should be considered during the planning and scheduling of this test. Single Audit – 2 Legislation Alignment: Single Audit addresses standardized reporting for grantees, reduced duplication in financial reporting, and reduced grantee burden. What is the Single Audit? The Single Audit is a financial statement audit of an organization’s federal funds. The Single Audit is intended to provide assurance to the Federal Government that a recipient has internal controls and compliance over these funds.

11 What is the hypothesis? Hypotheses: If grantees are supplied with grants lifecycle information in one website, then they will have increased access to grants resources and knowledge of the grants lifecycle process. What is the test model? Summary: HHS will administer a knowledge test before and after participants are exposed to Learn Grants – GIG on the grants lifecycle process. HHS will compare the results of the two tests for each participant. Metric: Knowledge test accuracy/Survey results. Is there additional information relevant to this test model? In August 2015, Learn Grants – GIG received 58,384 visits. Over 60% of responding users rated the tool an 8 out of 10 or higher in its ability to answer their questions. In September 2015, Learn Grants – GIG received 59,591 visits. Over 62% of responding users continue to rate the tool 8 out of 10 or higher in its ability to answer their questions. What is Learn Grants – GIG? Learn Grants – GIG is a tab on the Grants.gov website that summarizes and provides links to new and important grants information such as policies, processes, funding, and other information needed throughout the grants lifecycle. This portal also promotes the standardization of grants terminology and data. Learn Grants – Grants Information Gateway (GIG) Legislation Alignment: Learn Grants-GIG engages a diverse set of stakeholders and provides more comprehensive training earlier in the grants lifecycle process to help enhance recipient compliance during post- award activities.

12 The following timeline provides a high-level view of the Section 5 Grants Pilot phases and milestones through August Section 5 Grants Pilot Timeline *The Federal Register Notice is a component of the PRA Review. Paperwork Reduction Act (PRA) Review* OMB Concurs on Test Models Federal Register Notice Published* Section 5 Grants Pilot Town Hall Begin Collection of Pilot Data Submit Report to Congress September 23 November 2 November 20 May 2016 May 2017 August 2017 November 2 Early Spring Select Pilot Participants Design Effectiveness Pretest Meeting Early December Pilot Data Collection Ends Pilot Activities Begin May 2015

13 Advocacy Group Engagement

14 There are several ways in which advocacy groups can support the Section 5 Grants Pilot. Advocacy Group Engagement Include DAP in future conferences and/or events throughout When: Spring through May 2017 DAP may leverage events to conduct focus groups and administer surveys during the data collection period Forward event details to Christopher Zeleznik and Michael Peckham Identify individuals with technical expertise to pre-test and evaluate feasibility of Section 5 Grants Pilot test models. When: Early December DAP will host a meeting with a total of 9 individuals who will help evaluate test models Send contact information to DAP Mailbox: Query membership/stakeholders to identify Pilot participants. When: Now through Early Spring DAP will need participants contact information, organization name, and DUNS DAP will notify you when and how to submit Pilot participant contact information

15 Pilot Participant Crosswalk Test Models Pilot Participant Characteristics Grant recipients of all sizes (aggregate dollar value) Grant Recipients with a wide range of number of grants/awards (e.g. institutions with 1 grant vs. institutions with several) Grant recipients from all sectors (e.g. private sector, non-profit, educational institutions, etc.) Participants with a range of exposure to the grants lifecycle Grant recipients that can provide multiple points of contact within the organization (e.g. administrative vs. executive role) C-DERL -1 - C-DERL -2 No grant recipient participation required. Test model will be conducted with federal participants. Consolidated FFR - Single Audit Single Audit Learn Grants - GIG The following table provides additional details on types of participants needed for each test model.

16 Section 5 Grants Pilot FAQs Q: Even though no funds are available for the pilot, might you be able to make experts available to the participants in implementing the pilot. Will any type of technical assistance be available? A: DAP will be available to assist Pilot participants through out the test process. Q: What is the intent of the Section 5 Grants Pilot? A: The intent of the Section 5 Grants Pilot is to test tools/methods/forms/models to meet DATA Act’s Section Pilot 5 Pilot requirements. Q: What will be expected of Section 5 Grants Pilot participants? A: Depending on the test model, Pilot participants will be expected to complete surveys, forms, and/or participate in tests and/or focus groups. Participants will be expected to share data on burden hours and any other data that may assist DAP in making recommendations to Congress. Q: What is the timeframe for the Section 5 Grants Pilot? A: DAP will begin collection of Pilot test model data in May 2016 (for more details refer to timeline on slide 12). Q: What is the expected time commitment? A: As DAP finalizes test model details, we will refine our time commitment estimates. Q: Do you happen to have materials prepared to share with the public? A: The information in this slide deck may be shared with the public. Additionally, we have provided “Section 5 Grants Pilot Fact Sheets” for distribution. DAP is currently working on launching a website and social media campaign to inform the public on the Pilot. These forums will provide a way to keep the public updated on DAP’s Pilot activities. We encourage advocacy groups to engage with DAP once the social media platforms are launched.

17 Key Contact Information Michael Peckham, DAP Executive Director: (202) Christopher Zeleznik, Intergovernmental Recipient Engagement Lead: (202) Christopher Suzich, Section 5 Grants Pilot Technical Lead: (301) DAP Mailbox: