HHS DAP Section 5 Grants Pilot Town Hall
Section 5 Grants Pilot Overview
November 20, 2015
Meeting Purpose & Agenda
Purpose
To provide an overview of the Section 5 Grants Pilot Framework, describe the test
models, and identify opportunities for engagement.
Agenda
Section 5 Pilot Requirements
Section 5 Grants Pilot Approach & Framework
Section 5 Grants Pilot Test Models
Advocacy Group Engagement
Questions
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Section 5 Pilot Requirements
The goal of the Pilot is to implement Section 5 of the Digital Accountability and
Transparency Act (DATA Act) of 2014, Pub. L. No. 113-101, which requires the
Federal Government to, “ establish a pilot program with the participation of
appropriate Federal agencies to facilitate the development of recommendations for –
(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.
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Developing the S-5 Grants Pilot – Approach & Framework
HHS DAP created the Section 5 Grants Pilot Framework, which takes a holistic
approach to meeting the Section 5 Pilot Goals by:
•
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 2017.
Section 5 Grants Pilot Framework
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Section 5 Grants Pilot: Test Models
5
Common Data Element Repository Library (C-DERL) – 1
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.
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 CDERL.
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.
• Metric: Time to complete
forms/survey results.
Legislation Alignment:
C-DERL addresses implementation of standardized reporting elements and can be leveraged to
reduce unnecessary duplication in reporting, which reduces grantee burden.
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Common Data Element Repository Library (C-DERL) – 2
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.
What is the hypothesis?
• Hypotheses: If duplication across
forms can be identified using CDERL, 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.
What is the test model?
• Summary: Agencies can use CDERL 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.
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.
• Metric: Number of duplicative or
revised fields across forms.
• Applying standard definitions of data
elements will eliminate disparate
data definitions across forms for the
same 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.
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Consolidated Federal Financial Reporting (FFR)
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.
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.
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.
• Metric: Survey results.
Legislation Alignment:
The Consolidated FFR reduces grantee burden by eliminating unnecessary duplication.
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Single Audit – 1
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.
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.
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.
• Metric: Focus group feedback/
Survey results.
Legislation Alignment:
Single Audit addresses standardized reporting for grantees, reduced duplication in financial
reporting, and reduced grantee burden.
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Single Audit – 2
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.
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.
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.
• Metric: Form completion time/
Survey results.
Legislation Alignment:
Single Audit addresses standardized reporting for grantees, reduced duplication in financial
reporting, and reduced grantee burden.
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Learn Grants – Grants Information Gateway (GIG)
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.
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.
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 postaward activities.
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Section 5 Grants Pilot Timeline
The following timeline provides a high-level view of the Section 5 Grants Pilot
phases and milestones through August 2017.
May
2015
September
23
November
2
November
20
Early
December
May
2016
2016
2015
Pilot
Activities
Begin
OMB
Concurs
on Test
Models
Federal
Register
Notice
Published*
Section 5
Grants
Pilot Town
Hall
Design
Effectiveness
Pretest
Meeting
May
2017
August
2017
2017
Select Pilot
Participants
Begin
Collection
of Pilot
Data
Pilot Data
Collection
Ends
Submit
Report to
Congress
Paperwork Reduction Act (PRA) Review*
November
2
*The Federal Register Notice is a component of the PRA Review.
Early
Spring
12
Advocacy Group Engagement
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Advocacy Group Engagement
There are several ways in which advocacy groups can support the Section 5
Grants Pilot.
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
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: DATAActPMO@hhs.gov
Include DAP in future conferences and/or events throughout 2016.
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
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Pilot Participant Crosswalk
The following table provides additional details on types of participants needed for
each test model.
Test
Models
Pilot Participant Characteristics
Grant recipients of
all sizes (aggregate
dollar value)
C-DERL -1
C-DERL -2

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)

No grant recipient participation required. Test model will be conducted with federal participants.
Consolidated
FFR



-

Single Audit -1



-
-
Single Audit -2



-
-
Learn Grants GIG





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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.
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Key Contact Information
Michael Peckham, DAP Executive Director:
Michael.Peckham@hhs.gov, (202) 205-9452
Christopher Zeleznik, Intergovernmental Recipient Engagement Lead:
Christopher.Zeleznik@hhs.gov, (202) 205-3514
Christopher Suzich, Section 5 Grants Pilot Technical Lead:
Christopher.Suzich@hrsa.hhs.gov, (301) 443-3427
DAP Mailbox:
DATAActPMO@hhs.gov
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