1. Closing FY 2009 Expired Funds- Update SAC May 28, 2014 Nieshia Blocker, OALM

2. Closing FY 2009 PRISM Expired Lines-Update Proposed FY 2010 and Beyond Expired Lines Policy Agenda 2

3. All lines must be closed out by June 20 th unless an exception has been requested. NBS FINAL CLOSE PROGRAM The NBS Final Close Program was not executed on May 9, 2014 NBS Validation executed on May 9, 2014 –No lines were closed NBS Final Close Program tentatively scheduled for June 6, June 20, and July 11 –Exceptions are due by May 23, 2014 REPORTING Released week of May 12, 2014 –ARRA Funds identified on TAB 1 (highlighted in yellow) –Details on the error messages and IC standings are located on the Back-Up slides NBS Final Close Execution and Closing FY 2009 PRISM Expired Lines Update 3

4. Background The number of Expired Lines has increased over the past three fiscal years. A warranted acquisition official is the designated official with authority to close out award lines; NBS currently allocates time and resources to this activity which results in an extended system downtime during closing in October Current Process –In the 5 th year of these lines lifespan, OALM and NBS, in December, release the current status of all lines expiring in September for that fiscal year. –Community has to address lines which have errors and are ineligible to be closed via the automated process –The NBS Final Close program is executed several times between January and September and closes all eligible lines unless an exception has been requested. –Goal: By the 4 th quarter of the 5 th year All Lines are deobligated to $0.00 or the last billed amount has been received and that line has a “Passes Validation” message Proposed FY 2010 and Beyond Expired Lines Policy 4

5. Program Planning and Management Branch (PPMB) conducted a survey and visited various stakeholders to seek input on the policy/system parameters for the NBS Final Close Program and the possibility for adding language to the Clearance of Personnel for Separation or Transfer form. Survey Based on the Terms and Conditions of the proposed policy, the survey focused on the time, dollar, and frequency of the NBS Final Close Program 48 Responses Survey Audience included –Acquisitions Management Committee (AMC) and Simplified Acquisitions Committee (SAC) –Budget Officers –Intramural/Extramural Administrative Officers –NBS Advocates Community Feedback from Outreach PPMB presented the proposed policy to the above groups standing meetings and documented comments and feedback Main discussions during the outreach sessions surrounded the proposed policy and Off- boarding form Survey and Outreach 5

6. Proposed Terms and Conditions: Any PRISM obligation open for two years or more, regardless of open dollar amount, is considered eligible to be closed out by the NBS PRISM Final Close Out Program that will be run on a quarterly basis. Do you agree with the proposed policy that after two years any Prism line with no errors should be eligible to be automatically closed by the NBS Final Close Program? Survey Results: Time 6

7. Proposed Terms and Conditions: Any PRISM obligation open for two years or more, regardless of open dollar amount, is considered eligible to be closed out by the NBS PRISM Final Close Out Program that will be run on a quarterly basis. What would be the appropriate dollar threshold for PRISM lines that would be considered eligible to be closed- out by the NBS Final Close Program? Survey Results: Dollar 7

8. Proposed Terms and Conditions: Any PRISM obligation open for two years or more, regardless of open dollar amount, is considered eligible to be closed out by the NBS PRISM Final Close Out Program that will be run on a quarterly basis. What do you suggest should be the frequency of running the NBS Final Close Program to close-out these PRISM lines? Survey Results: Frequency 8 *One respondent skipped the question

9. Community Feedback from Outreach Sessions 9 CategoryFeedbackAssessment ContractsCost Type contracts should be excluded from the FY2010 Beyond process. This is possible. NBS would need to exclude the lines prior to executing the NBS Final Close Program. TimeTime frame should be between 3-4 years, rather than 2. A number of contracts (i.e. Cost Types) are still invoiced after 2 years and it would be a burden on a Purchasing Agent to have to check on these quarterly after 2 years. Simplified Acquisition Purchasing Agents are also doing p-card reconciliations and awards which have a critical time frame. This is possible. NBS would need to exclude the lines prior to executing the NBS Final Close Program.

10. Proposed SYSTEM PARAMETERS should be used for FY2010 and Beyond Decision Point 10 ParametersCommunity Recommendation AMC Recommendation Time2 years DollarunlimitedLess than $1,000 Frequencyannually OtherExclude all cost type awards

11. October Year End Close Out Expired Lines (5 th Year) February Expired Lines Policy Implemented May Year End Close Out Expired Lines (5 th Year) June Year End Close Out Expired Lines (5 th Year) September Year End Close Out Expired Lines (5 th Year) Implementation of Expiring Lines Policy: Timeline 11 Graphic Version NBS Validation Reports Released November - January FY2010 and FY2011 FY 2010 and F2011 FY2010 NBS Validation Reports Released March and April NBS Final Close Program Report Released May - September FY2011 and 2012 FY 2011 and FY2012 FY2011 FY 2011 and FY2012

12. Should language be added to the NIH “Clearance of Personnel for Separation or Transfer” form requiring that all actions are re-assigned to a current Buyer, CO or Owner before staff leave NIH or transfer 12 Survey Question

13. Survey Results: Off-boarding Process 13 Do you believe there should be a statement/sentence on the NIH “Clearance of Personnel for Separation or Transfer” form instructing all NIH employees leaving NIH (or transferring to another IC/NIH organization) to re-assign their awards to active staff prior to their departure? *One respondent skipped the question

14. Community Feedback: Off-boarding Process 3 14 CategoryFeedbackAssessment ProcessTransfers within NIH: Deactivate/ transferred in NED, NIH must generate a removal of all authorities from all systems in addition to reassigning document ownership in NBS. Discussions needed concerning possible system solutions ProcessLeaving NIH: When a person is deactivated in NED, the CO/Buyer should be removed from that award in NBS. COACs should check periodically (once a quarter) to ensure that active COs/Buyers are listed and inactive personnel are removed. Discussions needed concerning possible system solutions ProcessIf a user is terminated or transfers to another IC, a list detailing awards associated with that user should be provided to the supervisor. If a user is terminated, the supervisor should transfer the awards to active staff If a user transfers, that user should not be given system access unless all awards have been re-assigned Discussions needed concerning possible system solutions

15. CategoryFeedbackAssessment Management /Enforcement Supervisors should take a larger role to ensure items are closed out or re-assigned as required. Require memo from Branch Chief through Director, Office of Acquisitions, listing the contracts and/or simplified acquisitions and to whom they’ve been reassigned. Decision made by Head of Contracting Activity (HCA) on change in business policy ReportingThere should be a report that identifies awards by Buyer/CO. Reports already in place: ACQ – 13 – Awards by Buyer and Summary ACQ-14 – Awards by Buyer Details FormsOn the “Clearance of Personnel for Separation or Transfer” form, new Buyers/COs who own the awards should be listed. This action is possible when OAMP develops final language 15 Community Feedback: Off-boarding Process 2

16. Final Decision 16 Decision Made: Division of Acquisition Policy and Evaluation (DAPE) will begin developing language for the NIH Clearance of Personnel for Separation or Transfer.

17. Back Up 17

18. Closing FY 2009 Expired Lines Update 18 Office of Acquisitions 2/11/20143/19/144/9/145/11/14 OLAO1,5591,40536084 NCI670598438364 NIAID939679664508 NLM515510258262 NIDA446417115136 NHLBI356350156189 NICHD323317153157 ORF261215167164 CC12312211694 NIEHS91552516 NITAAC54 501113 NIDDK16156110 NIMH88214 NIDCD15170 NIA6363 NEI2 2206

19. Closing FY 2009 Expired Lines Update 2 19 Office of Acquisitions 2/11/20143/19/144/9/145/11/14 CIT -8920 CSR -640 FIC -1050 NCRR-23190 NHGRI-61110 NIAAA-4010 NIAMS-4980 NIBIB-3070 NIDCR-67230 NIGMS-271615 NINDS-13450 NINR-954 OD*-323-63 ORS-138-34 Grand Total5,104 4,7512,6942,126 *OD includes OTT

20. October Year End Close Out Expired Lines (5 th Year) February Expired Lines Policy Implemented May Year End Close Out Expired Lines (5 th Year) June Year End Close Out Expired Lines (5 th Year) September Year End Close Out Expired Lines (5 th Year) Timeline 20 NBS Validation Reports Released November - January NBS Validation Reports Released March and April NBS Final Close Program Report Released May - September FY2010 and FY2011 FY2010 FY 2010 and FY2011 Non Graphic Version

21. Questions 2009 Expiring Lines Questions 21