Closing FY 2009 Expired Funds-Update

SAC

May 28, 2014

Nieshia Blocker, OALM

• Closing FY 2009 PRISM Expired Lines-Update• Proposed FY 2010 and Beyond Expired Lines

Policy

Agenda

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All lines must be closed out by June 20th 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

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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 5th 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 4th quarter of the 5th 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

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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

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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

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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

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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

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Annual

Semi-Annual

Quarterly

50%

30%

19%

Reponses

*One respondent skipped the question

Community Feedback from Outreach Sessions

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Category Feedback Assessment

Contracts Cost 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.

Time Time 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.

Proposed SYSTEM PARAMETERS should be used for FY2010 and Beyond

Decision Point

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Parameters Community Recommendation

AMC Recommendation

Time 2 years 2 years

Dollar unlimited Less than $1,000

Frequency annually annually

Other Exclude all cost type awards

Exclude all cost type awards

October Year End Close Out

Expired Lines(5th Year)

FebruaryExpired Lines Policy

Implemented

MayYear End Close Out

Expired Lines(5th Year)

JuneYear End Close Out

Expired Lines(5th Year)

SeptemberYear End Close Out

Expired Lines(5th Year)

Implementation of Expiring Lines Policy: Timeline

11Graphic Version

NBS Validation Reports Released November - January

FY2010 and FY2011

FY 2010 and FY2011FY 2010 and F2011

FY2010 FY2010

NBS Validation Reports Released March and April

NBS Final Close Program ReportReleased May - September

FY2011 and 2012

FY 2011 and FY2012

FY2011FY2011

FY 2011 and FY2012

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

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Survey Question

Survey Results: Off-boarding Process

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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?

Yes, 83%

No, 17%

*One respondent skipped the question

Community Feedback: Off-boarding Process 3

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Category Feedback Assessment

Process Transfers 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

Process Leaving 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

Process If 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

Category Feedback Assessment

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

Reporting There should be a report that identifies awards by Buyer/CO.

Reports already in place:

ACQ – 13 – Awards by Buyer and SummaryACQ-14 – Awards by Buyer Details

Forms On 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

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Community Feedback: Off-boarding Process 2

Final Decision

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

Back Up

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Closing FY 2009 Expired Lines Update

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Office of Acquisitions

2/11/2014 3/19/14 4/9/14 5/11/14

OLAO 1,559 1,405 360 84

NCI 670 598 438 364

NIAID 939 679 664 508

NLM 515 510 258 262

NIDA 446 417 115 136

NHLBI 356 350 156 189

NICHD 323 317 153 157

ORF 261 215 167 164

CC 123 122 116 94

NIEHS 91 55 25 16

NITAAC 54 50 11 13

NIDDK 16 15 61 10

NIMH 8 8 21 4

NIDCD 1 5 17 0

NIA 6 3 6 3

NEI 2 2 20 6

Closing FY 2009 Expired Lines Update 2

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Office of Acquisitions

2/11/2014 3/19/14 4/9/14 5/11/14

CIT - 89 2 0

CSR - 6 4 0

FIC - 10 5 0

NCRR - 23 19 0

NHGRI - 61 11 0

NIAAA - 40 1 0

NIAMS - 49 8 0

NIBIB - 30 7 0

NIDCR - 67 23 0

NIGMS - 27 16 15

NINDS - 134 5 0

NINR - 9 5 4

OD* - 323 - 63

ORS - 138 - 34

Grand Total 5,104 4,751 2,694 2,126

*OD includes OTT

October Year End Close Out

Expired Lines(5th Year)

FebruaryExpired Lines Policy

Implemented

MayYear End Close Out

Expired Lines(5th Year)

JuneYear End Close Out

Expired Lines(5th Year)

SeptemberYear End Close Out

Expired Lines(5th Year)

Timeline

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NBS Validation Reports Released November - January

NBS Validation Reports Released March and April

NBS Final Close Program ReportReleased May - September

FY2010 and FY2011

FY2010 FY2010

FY 2010 and FY2011FY 2010 and FY2011

Non Graphic Version

Questions

2009 Expiring Lines Questions

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