Exhibit 1 - Needs Assessment.pdf

Deliverable 1: Grants Management System Needs Assessment

Executive Office of the Governor of Florida 0

Strategy | Process | Technology

Executive Office of the Governor of Florida

Deliverable 1:

Grants Management System

Needs Assessment

RFQ 23-01

February 20, 2023

Executive Office of the Governor of Florida 1

Table of Contents

Revision History

Acronyms

1 Executive Summary

1.1 Project Overview

1.2 Project Objective

1.3 Deliverable Overview

2 Solution Components

2.1 Grants Portal

2.2 Grant Management

2.3 Reporting

3 Business Processes

3.1 Current State

3.2 Future State

3.2.1 Agency Federal Grant Process

3.2.2 Subrecipient Subaward Process

3.2.3 Data Management

4 Information and Data

4.1 Data Sharing and Integrations

4.1.1 State Systems

4.1.2 Federal Systems

4.2 Common Data Elements

4.3 Required Data Elements

4.3.1 Compliance Required Data Elements

4.3.2 Systems Required Data Elements

4.4 Data Governance

4.4.1 Privacy and Security

4.4.2 Accessibility

5 Requirements and Preferences

5.1 Functional

5.1.1 Requirements

5.1.2 Preferences

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5.2 Implementation

5.2.1 Requirements

5.2.2 Preferences

5.3 Technical

5.3.1 Requirements

5.3.2 Preferences

6 Next Steps

7 Appendix

7.1 Existing Data Sources

7.2 Consolidated Common Data Elements

7.3 Consolidated Required Data Elements

Table of Figures

Figure 1: Needs Assessment Overview

Figure 2: Requirements for Future State GMS

Figure 3: Grant Management Life Cycle

Figure 4: How GMS Solutions Provide Positive Impacts

Figure 5: Current State Process Flow

Figure 6: Agency Federal Grant Process Flow

Figure 7: Subrecipient Subaward Process Flow

Figure 8: Data Management Process Flow

Figure 9: Data Inputs and Outputs

Figure 10: Implementation Phases

Table of Tables

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Table 1: Future State GMS Planning

Table 2: Process Map Legend

Table 3: Current State Process Table

Table 4: Agency Federal Grant Process Table

Table 5: Subrecipient Subaward Process Table

Table 6: Data Management Process Table

Table 7: Data Sharing in Types

Table 8: Common/Federal Data Elements

Table 9: Required/State Compliance Data Elements

Table 10: Required/State Systems Data Elements

Table 11: Subcategory Descriptions

Table 12: Functional Requirements

Table 13: Functional Preferences

Table 14: Implementation Requirements

Table 15: Implementation Preferences

Table 16: Technical Requirements

Table 17: Technical Preferences

Table 18: Existing Data Sources

Table 19: Consolidated Common Data Elements

Table 20: Consolidated Required Data Elements

Revision History Version Date Author(s) Revision Notes

V1 1/31/2023 ISF Initial draft to review with EOG in walkthrough

V2 2/1/2023 ISF Revised draft submitted to EOG for formal review

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Version Date Author(s) Revision Notes

V3 2/13/2023 ISF Revised draft addressing EOG feedback

V4 2/20/2023 ISF FINAL version addressing EOG feedback

Acronyms ADA American Disabilities Act

BAPS Budget Amendment Processing System

CSFA Catalog of State Financial Assistance

CFR Code of Federal Regulations

CFO Chief Financial Officer

CMS Cash Management System

COTS Commercial Off-the-Shelf

DAIMS Data Act Information Model Schema

DATA Act Digital Accountability and Transparency Act

DED Deliverable Expectations Document

EOG Executive Office of the Governor

F.A.C Florida Administrative Code

FACTS Florida Accountability Contract Tracking System

FFATA Federal Funding Accountability and Transparency Act

FIBF Federal Integrated Business Network

FLAIR Florida Accounting Information Resource

FL[DS] Florida Digital Service

FS Florida Statutes

FRU Federal Recovery Unit

GMS Grants Management System

GREAT Act Grant Reporting Efficiency and Agreements Transparency Act of 2019

GSA General Services Administration

HIPAA Health Insurance Portability and Accountability Act

HR Human Resources

HRIS Human Resources Information System

IT Information Technology

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ISF ISF, Inc.

LAS/PBS Legislative Appropriations System/Planning and Budgeting Subsystem

MFMP MyFloridaMarketPlace

NIST National Institute of Standards and Technology

NGA Notice of Grant Award

NOFO Notice of Funding Opportunities

OMB Office of Management and Budget (federal)

OPB Office of Policy and Budget

FL PALM Florida Planning, Accounting, and Ledger Management

PII Personally Identifiable Information

SAM System for Award Management (SAM.gov)

SA State Agency

V Version, as in v1

W3C World Wide Web Consortium

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1 Executive Summary

The Executive Office of the Governor (EOG) of Florida contracted with ISF, Inc. (ISF) to provide a grants management system (GMS) needs assessment and a feasibility study to evaluate the necessity and cost-efficiency of either purchasing or building a GMS in the future. The Office of Policy and Budget

(OPB) within EOG is responsible for coordinated planning, policy development, budgeting, and evaluation in support of the Governor, State of Florida executive branch state agencies, and the State

Legislature pursuant to Florida Statutes (FS). The Federal Recovery Unit (FRU) is one of nine units within the OPB. The FRU ensures a statewide coordinated response to federal acts that provide funding to

Florida. As part of its mission, FRU mitigates fraud and abuse, ensures transparent communication, establishes performance metrics, and develops consistent and centralized reporting. As such, EOG seeks a future state GMS that can: provide robust monitoring and analysis across the grant life cycle, promote accessibility and awareness of the grant opportunities and successes, maximize the award of federal funding, function as a one-stop shop for state and federal grants, and can be highly configurable with minimal vendor or IT support. Benefits associated with developing and implementing a GMS include:

• Streamlined, standardized process that reduce errors and save time

• Better tracking of grant applications, awards and payments

• Customizable reports that give EOG a comprehensive overview of grants

• Saves time by automating repetitive tasks and reducing manual effort

• Provides relevant data and insights enabling data driven decision making

• Provides the public a view of state grant funds and how to apply

This executive summary will focus on three key areas:

• An overview of the project (Section 1.1)

• The main business objectives of the project (Section 1.2)

• An overview of this specific Needs Assessment deliverable (Section 1.3)

1.1 Project Overview

Currently, there is no centralized GMS solution to provide reporting at a statewide level. There are currently over 2,400 grants available at Grants.gov, the portal used by the federal government to post all funding opportunities. Many eligible entities may not be familiar with the terminology and processes used by the federal government to understand eligibility and thus miss valuable opportunities to obtain grant funding. Additionally, state governance of grants is largely decentralized, and in most state agencies, grants are managed via manual and often paper-based processes, which results in inefficiencies and risk of loss of funding.

EOG would like to pilot the GMS at a state agency that receives some, but not an abundance of federal grant funding. Once the pilot has been successful, EOG intends to offer use of the GMS to agencies would like to use the GMS rather than their current inhouse system. The future state would include requesting a data transfer from agencies that are supporting their own GMS to provide a more universal view of federal funding coming into the state.

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After this deliverable, ISF will concentrate on Deliverable 2: Feasibility Study. This study will use the requirements and processes laid out in this document and assign cost estimates to give EOG a better understanding of potential project implementation costs.

Outlined in table 1 below are challenges the future state GMS project must address to be successful.

TABLE 1: FUTURE STATE GMS PLANNING

Challenges Steps for Success

Identification of a pilot agency Engage with state agencies and stakeholders prior to procurement to identify potential state agencies to pilot the

GMS. This engagement will help inform the procurement process and facilitate timely implementation of the pilot following procurement.

Ability to expand across the enterprise if pilot is successful

EOG would like to expand the GMS project to all state agencies. Education, training and system demonstrations will provide awareness and knowledge and encourage uptake of the solution. Early awareness will support change management and reduce the potential for resistance to change.

Development of business processes and standardized forms

State agencies may have differing grant management business processes; however, standardization of business processes across agencies can be accomplished by focusing on steps and requirements of the federal grant life cycle. The system should also allow for agency-specific customization that can be designed and deployed by the state agency. Best practices in change management should also be followed to facilitate implementation.

Data sharing and integration

Some state agencies may have issues with exchanging data from their own system with the GMS or the level of detail displayed to the public. Data governance is thus critical to ensuring appropriate and secure data sharing and integrations.

Current limitations of system architecture and systems

Integration challenges will exist with accounting, budgeting, and agency existing grant management systems. As a result, system ability to integrate with legacy systems and vendor’s knowledge and experience of integrating with legacy systems should inform scoring and selection of the GMS.

Limitations of Commercial Off-the-Shelf

(COTS) GMS solutions given goals and objectives

Although it may be difficult to find a COTS solution that encompasses all requirements, the COTS GMS solutions to be evaluated in the feasibility study all offer hybrid

(COTS+custom) model solutions.

Ensuring the system and business rules have sufficient security and controls

EOG has limited staff and needs a system that provides sufficient internal controls, including: user/permissions control, data validation, fraud and risk monitoring, audit trails, and robust security.

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Challenges Steps for Success

Maintaining compliance with relevant laws, regulations, and grant guidance

EOG has no designated staff to ensure compliance with changing rules and regulations. The GMS system will need the ability to maintain compliance despite changing laws and regulations. The GMS should include training and guidance materials that will support compliance and mitigate risk of non-compliance. The GMS communication should also support outreach efforts around changing laws and regulations.

Resource limitations, including human and financial

EOG has limited staff to support the GMS and limited financial resources. Additionally, any funds for the implementation of this project must be approved by the

Florida Legislature during the upcoming session. A detailed risk/benefit analysis would help support the GMS to the

Florida Legislature.

Desired timeline for implementation Successful implementation during the desired timeline is dependent on the Florida Legislature, the state agency chosen to pilot the GMS, the availability of developers, and other influences. Advanced planning with Florida Legislature, the selected pilot agency, and the vendor will be required.

These barriers will need to be addressed in the planning and implementation of the future state GMS in order to successfully meet the project objectives. Project objectives are discussed in further detail in the subsection below.

1.2 Project Objective

The primary business objective of the proposed GMS project revolves around identifying the processes and requirements needed for a future state GMS to meet EOG goals. One goal with EOG

Grants Management Needs Assessment is to provide recommendations for a future state GMS, which include the following solution components:

• Grants portal: provides a way for entities to apply for federal or state funding.

• Grants management: allows both recipients and subrecipients to submit required reporting and submit invoices.

• Grants reporting: provides a dashboard that offers the public a transparent look at grant awards and performance in Florida.

The Needs Assessment also provides EOG the requirements necessary to procure and implement a best-of-breed, web-based GMS. ISF has reviewed applicable federal guidelines, Florida Statutes (FS), Florida Administrative Code (F.A.C), industry best practices, and EOG specific policies and procedures. ISF leveraged knowledge gained through the client interview process, review of applicable governing guidelines, strategic visioning sessions, requirements gathering, analysis of existing and future state technologies, existing current state process documentation, and supplemental research to develop Deliverable 1: Needs Assessment.

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1.3 Deliverable Overview

The Needs Assessment for the future state GMS includes:

• identification of technical, functional, and implementation requirements

• the development of proposed business processes required to support a new GMS

• the identification of common data elements, required data elements, and existing data sources necessary for implementing a grants management system

• and recommendations for data governance to ensure the GMS is designed for interoperability with key state systems and allow for secure data sharing and system integrations

Figure 1 below provides a high-level overview of the Needs Assessment (Deliverable 1).

F IGURE 1: NEEDS ASSESSMENT OVERVIEW

Below is a summary of key GMS functions identified by ISF that will facilitate efficient, effective, and impactful future state grant management. Additional details on each of these key functions can be found throughout the Requirements section (Section 5):

• In-platform planning and budget development tools

• Electronic form development

• Smart forms with the ability to pre-populate fields

• Electronic submission of applications, required reporting, and related submissions

• Custom workflows and automation

Needs Assessment

1. Executive Summary

2. Solution Components

3. Business Processes

4. Information and Data

5.

Requirements and Preferences

6. Next Steps

7. Appendix

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• Auto-generated reminders

• In-platform communication capabilities

• Award document creation

• Financial tracking

• Performance management and tracking

• Risk and compliance monitoring

• Integration with third party systems, including legacy systems and Grants.gov

• Data validation

• Robust data analysis, dashboard, and reporting capabilities

• Effective internal control measures, including access and data control

• Data and document management with search functionality

• Data security and recovery plans

• Scalable for large enterprises

• User-friendly, ease of use

• Configurable without IT support

• Customer support for grantor and applicants/grantees

The following items are not included in the scope of this deliverable:

• Delivery of a functional web-based system for managing grants.

• Implementation plans, implementation support for any recommended solution, and implementation or execution of any recommended solution falling outside the scope of this project.

• The resources and ability of EOG or third parties working on behalf of EOG to successfully execute and implement any recommended solution.

• Items not specifically identified and clearly described as expected content from the

Deliverable Expectations Document or the Scope of Work.

The requirements gathered and listed in this deliverable are intended to be sufficiently detailed to support procurement of all EOG required solution components. This includes detail sufficient to highlight proposals that include market distinctions and utilization of best practices to support scoring and selection in the procurement phase.

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2 Solution Components

As previously discussed in the project overview, there is no centralized GMS to manage the many grants available from the federal government. In pursuit of a future state GMS, EOG is looking to avoid missing valuable opportunities to obtain grant funding and to provide a transparent view of the states’ grant environment. This vision for the future state will be focused around three key solution components as illustrated in Figure 2 below. The following subsections provide a high-level overview of the component requirements for a future state, best-of-breed GMS system.

F IGURE 2: REQUIREMENTS FOR FUTURE STATE GMS

2.1 Grants Portal

The future state GMS portal will be a public-facing, one-stop shop for federal and state Notice of

Funding Opportunities (NOFOs) in Florida. This will provide more transparency and awareness for the public and potential eligible entities who may apply as sub-recipients to state and federal grants. A statewide public grants portal would provide transparency and access to state and federal grant information and guidance in addition to the NOFO, including the grant program’s scope, goals, objectives, and eligibility requirements. The portal should include all NOFOs for which the state is eligible and include an intuitive and easy to use search function for NOFOs, grant guidance and information (e.g., eligibility, how to apply). The portal shall serve as the entry point for submission of federal subrecipient grant applications and state grant applications. The portal shall have connectivity to the overall GMS system and any integrated systems. The list of integrated systems will be described in Section 4.1: Data Sharing and Integrations. Potential applicants may include agencies and various constituencies, such as small businesses or nonprofit organizations.

Creation of a one-stop shop is a priority among grantors nationally because of the related efficiencies and increased accessibility it provides. The National Grants Management Association’s 2020 survey of grants management professionals shows that about 70% of respondents said their number-one priority was creating a unified portal for grant recipients as it had the potential for the most impact on grants management. Grantee/applicants have noted time savings and improved grant discovery and research benefits. Driving interest in grants to a centralized, one-stop shop also creates an opportunity to share grant program success and positive impacts.

The grants portal is the public-facing entry point for grant applications and related submissions. The

Grant Management component of the GMS, detailed in the following subsection, provides the necessary business processes and functions to award and administer grants through closeout.

Grant Management System

Portal Grant

Management Reporting

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2.2 Grant Management

The future state GMS solution component must be highly configurable, easy to use, and provide efficient, effective, and transparent administration and reporting on grants through the entire grant life cycle as detailed in Figure 3 below.

F IGURE 3: GRANT MANAGEMENT L IFE CYCLE

The grant management component would utilize submissions and communications received through the portal component to administer the grant programs. The GMS will be used to support in-platform collaboration across state agencies with a focus on accessing new grant programs. The GMS will include connectivity to the state’s budgeting and accounting systems, at a minimum. Additional agency systems may be integrated into the GMS based on the solution ultimately selected, available resources to support the GMS, the pilot agency selected, and impacts from on-going system modernization efforts, such as the Planning, Accounting, Ledger, and Management (FL PALM) system.

Figure 4 below details the positive impacts afforded by an efficient and effective GMS.

F IGURE 4: HOW GMS SOLUTIONS PROVIDE POSITIVE IMPACTS

Pre-award Award Financial Tracking

Monitoring/

Performance Reporting Close-out

Efficient

- Streamlined and standardized business processes across the grant lifecycle

- Consolidated reporting

- Enhanced collaboration

- Centralized data and documentation

- Easy to configure

Effective

- Improved decision-making

- Enhanced planning and monitoring capabilities

- Data-driven performance management of grants, grant management operations, and grantees

- Robust data analytics and business intelligence

Impacts

- Increased transparency and accountability

- Enhanced storytelling capabilities through reporting and dashboards

- Ability to develop custom in-platform process to notify the communications personnel of success stories and grant outcomes for distribution

- Storytelling and reporting improve grant narratives, applications, and chances for funding awards

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2.3 Reporting

A critical component of effective grant performance management is data analysis and reporting. The future state GMS must collect required information for mandatory grant reporting as required by the grant program and relevant laws, regulations, and compliance supplements. The solution should also allow for robust ad hoc reporting capabilities to improve awareness, enhance transparency and accountability, and validate that the grant funding made a positive difference in the state by providing information on grant program and project performance and expected and actual outcomes. Reporting and analysis provided by the GMS will facilitate the development of state policy and setting future priorities on federal awards.

Below are some examples of how success can be measured once the GMS and data analytics module are implemented:

• Number of women, infants and children served

• Miles of greenway protected

• Newborns screened for genetic conditions

• Acres of crops protected from pests

• Number of homes fortified to withstand storms

• Number of historic homes preserved

• Employment and business growth

• Number of HIV-positive individuals with an undetectable viral load

Additionally, a robust data analysis and reporting function will help to identify pain points and support continuous improvement of business processes that bring more grant dollars and positive impacts into

Florida’s communities.

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3 Business Processes

ISF leveraged knowledge gained from earlier phases of the project, independent research, subject matter expertise, interviews, and working groups session with EOG project team to identify and deliver an actionable set of business processes that reflect EOG’s GMS current state (Section 3.1) and options for future state (Section 3.2). This includes the identification of process changes aimed to improve efficiency, increase transparency, standardize operations, and reduce potential for fraud. Process maps start at the beginning of the grant life cycle (level 0).

Table 2 provides process map legend that defines symbol meaning and usage in the current and future state process maps.

TABLE 2: PROCESS MAP LEGEND

Symbol Map Element Description

Swimlane Represents a role or system that performs a task in the process.

1. Numbering Represents the unique identifier for each task.

Connectors Represents the process flow order.

Trigger The process initiator. Describes what event must occur for the process to begin.

Process Step The process or task that needs to be performed before moving to the next step.

Decision Point A decision that the processor must make. These will be in the form of a question. A Decision Point must have at least two options, each with an arrow leading to a different shape. The arrows must be labeled with the decision.

Subprocess/

Predefined

Process

Process that contains multiple tasks that are defined in another process map or require its own process map.

Outcome The last task to be performed in the process.

3.1 Current State

Current grant management business processes are not standardized; rather, they are defined by each agency. Current state process maps and detail are limited due to lack of a centralized process. The current state business process map (Figure 5) and table (Table 3) below focus on the intent of state and federal law, regulation, and policy and the processes and functions of the state’s legacy finance and accounting system, FLAIR.

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1. SA identifies a federal funding opportunity

2. SA requests permission from

EOG to apply

3. Does EOG approve SA request?

3.1 EOG notifies SA

of denial

6.2 LBC reviews SA

request

4. SA applies for grant

NO

YES

5. Is funding awarded?

5.1 Federal entity

notifies SA they will not receive funding and process ends

7. SA enters relevant info into FLAIR

8. SA continues to update FLAIR through the grant lifecycle

9. SA compiles financial reports

10. Reporting is made to federal entities continuously until grant closeout.

NO

6. Does SA have Budget

Authority?

YES

6.1 SA makes

request for Budget

Authority to LBC

6.3 Does LBC

approve request?

6.3.1 LBC notifies SA of

unfavorable decision

NO

YES

YES

8.1. FLAIR and the

LAS/PBS exchange information

6.3.2 SA notifies the federal

entity that they cannot accept funds and process ends

NO

11. SA submits financial reports for annual Schedule of Federal Expenditures

6.4.Budget Ledger is updated

6.4.1 Budget Ledger

sends update to

FLAIR

6.5.SA is notified of budget amendment approval

F IGURE 5: CURRENT STATE PROCESS FLOW

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TABLE 3: CURRENT STATE PROCESS TABLE

# Step Title Step Description Role

1 SA identifies federal funding opportunity. A state agency in Florida identifies a federal grant for which they would like to apply. SA

SA requests permission from EOG to apply.

The state agency must have EOG’s approval before applying for a federal funding opportunity.

SA

Decision: Does EOG approve SA request?

EOG, at its discretion, may approve or deny the request to apply for federal funding. EOG

3.1 No: EOG notifies SA of denial. The SA is notified they may not apply for the funding opportunity and the process ends. EOG

4 Yes: SA applies for grant. The SA proceeds to apply for the grant via Grants.gov. SA

5 Decision: Is funding awarded?

The federal entity offering the grant reviews applications and makes determinations of who will and will not receive funding.

Federal

Entity

5.1 No: SA is notified they will not receive

funding and process ends

If the SA is not chosen to receive funding, the federal entity will send notification and the process ends.

Federal

Entity

Yes: Decision: Does SA have Budget

Authority?

If EOG decides to approve the SA’s request to apply, the SA must have sufficient Budget

Authority to proceed.

SA

6.1 No: SA makes request for budget

amendment to LBC

If the SA does not have sufficient Budget Authority, SA will need to submit a budget amendment request that will have to be approved by the Legislative Budget Committee

(LBC).

SA

6.2 LBC reviews SA request The LBC reviews the SA request for budget amendment LBC

6.3 Decision: Does LBC approve? The LBC decides whether the SA’s budget amendment is approved. LBC

6.3.1 No: LBC notifies SA of negative decision

and process ends The LBC will notify the SA that their request for budget amendment was not granted. LBC

6.3.2 SA notifies federal entity that they cannot

accept funds and process ends SA then notifies federal entity that they cannot accept grant funds and the process ends SA

6.4 Yes: Budget Ledger is updated The Budget Ledger is updated. This step happens concurrently with 6.5.

System

Process

6.4.1 Budget Ledger sends update to FLAIR FLAIR is updated by the Budget Ledger System

Process

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# Step Title Step Description Role

6.5 Yes: SA is notified of budget amendment

approval The SA is notified that the budget amendment request was granted SA

7 SA enters relevant information into FLAIR.

If the SA is chosen to receive funding, they are notified and must input financial information from the NGA into the FLAIR system.

Federal

Entity

SA continues to update FLAIR through the grant life cycle.

The SA inputs financial information into FLAIR throughout the grant lifecycle. SA

8.1 FLAIR and LAS/PBS exchange information.

The FLAIR system and the LAS/PBS interface daily. FLAIR sends disbursement and receipt information, and LAS/PBS sends budget release, amendments, and supplements to

FLAIR. The arrows show that this is a continual process that occurs throughout the grant lifecycle.

System

Process

9 SA compiles financial reports.

Information from the FLAIR reports is compiled by SA Activating step #10 continuously until closeout and #11 annually.

SA

Reporting is made to federal entities continuously until grant closeout

Regular and closeout reporting is made to federal entities. This happens throughout the grant lifecycle until the grant is closed out.

SA/Federal

Entity

SA submits financial reports for the annual

Schedule of Federal Expenditures Each year, SA submits financial reports for the annual Schedule of Federal Expenditures. SA

3.2 Future State

The purpose of this section is to identify proposed business process requirements for a new GMS and establish a basis for understanding what business process requirements the GMS must meet in order to select an appropriate solution. The future state grants management business processes seek to improve:

• Efficiency

• Transparency

• Accessibility of grant opportunities

• Standardization operations across agencies

• Fraud risk reduction

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Current state businesses processes are decentralized, not standardized, manual, and paper-based processes, as depicted and outlined in

Section 3.1. The future state business processes would be standardized, automated, and highly configurable to meet the future state business process requirements. The future state GMS would support and enable the future business processes and include all required GMS components. These future state processes are focused on three key areas:

• Agency Federal Grant Process (Section 3.2.1)

• Subrecipient Subaward Process (Section 3.2.2)

• Data Management (Section 3.2.3)

The future state processes are intended to provide an overview of the business processes requirements for the GMS. These business processes describe the activities required for implementation of a future state GMS that meets EOG’s business needs and goals. These high-level process maps are a starting point for a more detailed process gathering and elaboration which would be required during implementation. Additionally, the GMS future state business process recommendations were developed in alignment with federal guidelines, FS, F.A.C, industry best practices, and state policies and procedures to ensure compliance with all applicable laws, regulations, and grant guidance.

Proposed future state business processes for the future state GMS are illustrated and described more fully in figures and tables of the subsections below.

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3.2.1 Agency Federal Grant Process

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5.1 Federal Entity notifies

SA they will not receive funding

1. SA is notified of or discovers a NOFO

2. SA requests permission from

EOG to apply

3. Does EOG approve request?

3.1 EOG notifies SA

of denial

7. Does SA have Budget Authority?

5. Does Federal Entity award funds to

SA?

10. GMS uses docs (NOFO, Grant

Application, NOA) to complete activation.

7.4 SA receives

LBC s approval

12. Information is exchanged with other systems

13. Will The SA issue subawards?

14. Go to Subrecipient

Subaward Process

22. Info is displayed on GMS Portal reporting

5.2 SA closes out

grant in GMS

6. Federal Entity notifies SA of

NGA

NO

YES

7.2 LBC reviews

SA request for budget amendment

7.3 Does LBC approve

budget amendment? NO

7.3.1 LBC

notifies parties of negative outcome

NO

7.1 SA requests

budget amendment from LBC

8. SA

activates grant in GMS and uploads docs

11. SA uses GMS to administer the grant

YES

4. SA is notified of approval and submits application through GMS

YES

YES

YES

9. Any additional information is entered by SA

16. SA submits deliverables through GMS

17. Does Federal Entity approve deliverables?

20. SA and GMS initiate yearly or final closeout

17.1. GMS

notifies SA to correct errors

NO

YES

17.2 SA

corrects errors

21. GMS Closes Out Grant

18. Federal Entity inputs approval into

GMS

19. Is this the final deliverable?

NO

YES

NO

12.1 Info is

displayed on GMS Portal reporting

15. SA uses GMS to continue to administer grant

NO

F IGURE 6: AGENCY FEDERAL GRANT PROCESS FLOW

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TABLE 4: AGENCY FEDERAL GRANT PROCESS TABLE

# Step Title Step Description Role

1 SA is notified of or discovers a NOFO.

The GMS system notifies the SA of a NOFO based on notification parameters or the SA searches and finds the NOFO.

SA

SA requests permission from EOG to apply.

SAs must have EOG’s approval to apply for federal grants. SA

Decision: Does EOG approve request?

EOG decides if it is in the state’s best interest to apply for the grant. EOG

3.1 No: EOG notifies SA of denial.

If EOG does not approve the request to apply for federal funding, the process ends once they notify the SA of their decision.

EOG

Yes: SA is notified of approval and submits application through GMS

Once the SA has the go-ahead from EOG, they can submit their application through the GMS

SA

Decision: Does federal entity award funds to SA?

The federal entity that is offering the grant reviews and scores applications. The entity decides who will or will not receive funding.

Federal Entity

5.1 No: Federal government notifies SA

they will not receive funding.

The federal government entity notifies the SA that they were not chosen to receive grant funding.

Federal Entity

5.2 SA closes out grant in GMS.

The SA updates the GMS to show no funding was awarded. Process ends.

SA

6 Yes: Federal entity notifies SA of NGA.

If a SA is chosen to receive funding, the federal government sends a

Notice of Grant Award (NGA).

Federal Entity

Decision: Does SA have Budget

Authority

The SA consults their budget to determine whether they have enough budget authority. If not, they must request a budget amendment.

SA

7.1 No: SA requests budget amendment

from LBC

If the SA doesn’t have sufficient budget authority, they must request a budget amendment from the LBC

SA

7.2 LBC reviews SA request for budget

amendment The LBC reviews the SA request for budget amendment LBC

7.3 Decision: Does LBC approve budget

amendment?

The LBC determines if the SA request for budget amendment should be approved.

LBC

Executive Office of the Governor of Florida 21

# Step Title Step Description Role

7.3.1 No: LBC notifies parties of negative

outcome

The LBC notifies interested parties that the request for budget amendment was not approved.

LBC

5.2 SA closes out grant in GMS The SA closes out the grant in the GMS and the process ends SA

7.4 YES: SA receives LBC approval The SA is notified of the LBC’s authorization for a budget amendment SA

SA “activates” grant in GMS and uploads docs

The SA “activates” the grant in GMS and uploads documents such as the NOFO, Grant Application, and NOA

SA

Any additional information is manually entered by SA

The SA enters any information required by GMS that cannot be garnered from the Grant Application, NOFO or NGA.

SA

GMS uses docs (NOFO, Grant

Application and NOA) to complete

“activation.”

The GMS uses relevant documents from the Grant Application, NOFO and NGA to “activate” the grant in the GMS. This activation allows the

SA to record updates throughout the grant’s life cycle.

GMS

11 SA uses GMS to administer the grant Pursuant to the workplan submitted in the Grant Application, the SA starts administering the grant

GMS

Information is exchanged with other systems

The GMS automatically shares financial information with FLAIR to eliminate duplicative entries and will also have integration with other systems for reporting and monitoring

GMS

12.1 Info is displayed on GMS Portal

reporting

Anytime relevant information is updated in the GMS, it will be displayed on the GMS Portal reporting.

GMS

Decision: Will the SA issue subawards?

The SA determines whether they will issue subawards. SA

Yes: Go to Subrecipient Subaward

Process

If the SA will be distributing grant funds outside of Florida state government, go to Figure 7 Subrecipient Subaward Process.

SA

No: SA uses GMS to continue to administer grants

The SA uses the GMS to record financial information, load performance metrics, and monitor compliance.

SA/GMS

12.1 Info is displayed on GMS Portal

reporting

This step links back to Step 12.1 where information on grant performance and monitoring is displayed on the GMS Grants Portal

GMS

16 SA submits deliverables through GMS The SA administers the grant and submits deliverables to the federal entity through the GMS.

SA

Executive Office of the Governor of Florida 22

# Step Title Step Description Role

Decision: Does federal entity approve deliverables?

The federal entity must decide if the submitted deliverables and performance metrics meet grant standards for acceptance.

GMS

17.1 No: GMS notifies SA to correct errors

The GMS notifies the SA how and why the deliverable was not accepted.

GMS

17.2 SA corrects errors The SA corrects the errors that lead to the disapproval. SA

16 SA submits deliverables through GMS

The process returns to Step #16, where the SA (re)submits the deliverables through the GMS system. The deliverable will follow this process until a Yes (Step #18) is achieved.

SA/GMS

18 Yes: SA inputs approval into GMS

The SA notes its approval in the GMS system. In addition to going to

Step #18 (below), data relative to the approval will also be posted per

Step #21 on the Grants Portal reporting

SA

19 Decision: Is this the final deliverable?

The GMS determines whether the deliverable submitted was the last deliverable and that nothing else is outstanding.

GMS

No: SA submits deliverables through

GMS

If this is not the last deliverable, the process returns to Step 16 where the SA continues to submit deliverables through the GMS

SA

Yes: SA and GMS initiate yearly or final closeout

If this is the final deliverable and there are no outstanding issues, both the SA and the GMS will begin closeout procedures

SA/GMS

21 GMS Closes out grant The grant is closed out in the GMS GMS

Information is displayed on GMS portal reporting.

Information is displayed on the public-facing GMS portal dashboard. GMS

Executive Office of the Governor of Florida 23

3.2.2 Subrecipient Subaward Process

G

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EM

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SU

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IE

N T

1. SA has received federal NGA

2. SA initiates FL

NOFO

3. GMS creates and posts FL NOFO

4. GMS sends notice to interested, potential applicants

5. Applicant reviews FL NOFO and answers eligibility questions

6. Based on applicant answers, GMS decides if subrecipient is eligible to apply

7. Is applicant eligible to apply?

8. Applicant continues application process in GMS

7.1 GMS notifies

applicant they are not eligible

10. GMS presents all applications to SA after deadline date

11. Applications are scored by SA and subrecipients chosen

13. GMS

notifies applicant they were selected.

12. Did applicant get selected?

12.1 Applicant

notified they will not receive funding

14. GMS auto-generates agreement document

15. Applicant agrees to terms and becomes a subrecipient

NO

16. Subrecipient submits deliverables and performance statistics to GMS

17. GMS

submits to SA for approval

18. Does SA approve submission?

24. SA initiates yearly close out or final closeout

18.1 GMS

notifies subrecipient to fix errors

21. GMS

creates request for payment

23. Is this the final deliverable?

18.2 Subrecipient fixes errors

and resubmits through GMS

26 Grant is closed out in GMS and public dashboard is updated

23.1 Subrecipient is

paid and continues with

#16

9. Applicant submits application

19. SA inputs approval into

GMS

20.GMS updates performance metrics on public dashboard

YES

NO

YES

YES

NO

22.Integrated/ interfaced systems pay invoice and update GMS

YES

NO

25 Subrecipient is paid and begins closeout process

YES

F IGURE 7: SUBRECIPIENT SUB AWARD PROCESS FLOW

Executive Office of the Governor of Florida 24

TABLE 5: SUBRECIPIENT SUBAWARD PROCESS TABLE

# Step Title Step Description Role

1.

From Figure 6, SA has received a federal

NGA.

From Figure 6, Process Step #14, -The SA has received an NGA from a federal entity. SA

2. SA initiates FL NOFO.

The SA compiles all the information needed to advertise a FL NOFO. This includes eligibility questions, scoring criteria.

SA

3. GMS creates and posts FL NOFO.

The GMS takes information from SA, NOFO, and NGA and formulates a FL NOFO for posting to the GMS Portal.

GMS

4. GMS sends notice to potential applicants.

Interested applicants are notified of the opportunity via system-generated email based on their preferences. The FL NOFO is also searchable through the GMS

Portal.

GMS

5.

Applicant reviews FL NOFO and answers eligibility questions.

If an applicant wants to apply for the NOFO, they must first answer eligibility questions. This occurs in the GMS Portal and does not yet require registration in the

GMS.

Applicant/

Subrecipient

6.

Based on applicant answers, GMS decides if subrecipient is eligible to apply.

The GMS uses criteria pre-defined by the SA to determine eligibility of an applicant. GMS

7 Decision: Is applicant eligible to apply? Applicant answers eligibility questions in GMS Portal. GMS

7.1 No: GMS notifies applicant they are not

eligible.

If the applicant is not eligible to apply for the FL NOFO, they are notified by the GMS that they are ineligible to apply, and the process ends.

GMS

8.

Yes: Applicant continues application process in GMS.

The applicant must now register in the GMS to complete the application process.

Applicant/

Subrecipient

9. Applicant submits application. The applicant submits their completed application through the GMS.

Applicant/

Subrecipient

10.

GMS presents all applications to SA after the deadline date.

GMS compiles all submitted applications for the SAs review and delivers them after the deadline date.

GMS

11.

Applications are scored by SA and subrecipients chosen.

The SA reviews and scores the applications and chooses which applicants will become subrecipients.

SA

12. Decision: Did applicant get selected? SA indicates in GMS which applicants were selected. SA

Executive Office of the Governor of Florida 25

# Step Title Step Description Role

12.1 No: Applicant notified they will not

receive funding.

The GMS notifies the applicant that they were not chosen, and the process ends. GMS

13.

Yes: GMS notifies applicant they were selected.

The GMS notifies applicant that they were chosen to receive federal funding. GMS

14.

GMS auto-generates agreement document.

Upon an applicant being selected, the GMS will auto-generate the agreement the

SA has chosen as a procurement method (Grant Agreement, Purchase Order, Contract, etc.) and sends it to the Applicant.

GMS

15.

Applicant agrees to terms and becomes a subrecipient.

The applicant agrees to the terms laid out by the SA in the agreement document and becomes a subrecipient (i.e., the entity that will receive federal funds form the state).

Applicant/

Subrecipient

16.

Subrecipient submits deliverables and performance statistics thru GMS.

The subrecipient will submit reports and invoices via the GMS.

Applicant/

Subrecipient

17.

GMS submits deliverable to SA for approval.

The GMS submits all deliverables and necessary reporting from the subrecipient to the SA.

GMS

18. Decision: Does SA approve deliverable?

The SA reviews the deliverable and determines whether it can be accepted or requires changes.

SA

18.1 No: GMS notifies subrecipient to fix

errors.

If the SA does not approve the deliverable, the GMS system sends a notification to the subrecipient that the deliverable was not accepted by the SA and requires changes.

GMS

18.2 Subrecipient fixes errors.

Once all errors are corrected, the deliverable is again routed to the SA for approval

(See Process Step #16).

Applicant/

Subrecipient

19. Yes: SA inputs acceptance into GMS. The SA indicates that the deliverable was sufficient and can be accepted. SA

20.

GMS updates performance metrics on public dashboard

Any time there is a performance update to a grant, the GMS updates the new information in the public dashboard (Within Grants Portal Reporting)

GMS

21. GMS creates request for payment GMS creates the request for payment to be submitted to the state’s financial system. GMS

22.

Integrated/interfaced systems pay invoice and update GMS

Systems (both internal and external) in state government interface to ensure payment is made and received.

GMS

Executive Office of the Governor of Florida 26

# Step Title Step Description Role

20.

GMS updates performance metrics on public dashboard

Process then goes back to Step #20 where any new information received is updated on the GMS and displayed on the public dashboard.

GMS

23. Decision: Is this the final deliverable?

The GMS determines whether the submitted deliverable is the final deliverable or there are future deliverables still to be submitted.

GMS

23.1 No: Subrecipient is paid and continues

with Step #16.

The subrecipient is paid and continues submitting deliverables via Step 16.

Applicant/

Subrecipient

24.

Yes: SA initiates yearly closeout or final

(budget period) closeout.

If the submitted deliverable is the last deliverable, the SA can initiate either yearly closeout (if grant is multi-year) or final (budget period) closeout through the GMS.

SA

25.

Yes: subrecipient is paid and begins closeout process

This step happens concurrently with Process Step #24. The subrecipient begins work on their closeout process

Applicant/

Subrecipient

26.

Grant is closed out in GMS and public

Dashboard is updated.

The GMS begins appropriate closeout procedures and notifies all parties. Once, the grant is closed out, any performance measure data is displayed.

Executive Office of the Governor of Florida 27

3.2.3 Data Management

G

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1.Federal NOFO is displayed on Grants

Portal

2. SA indicates intent to apply on GMS

3. GMS downloads NOFO to Data

Warehouse and creates a Request to

Apply

4. Information resides in Data

Warehouse

8. SA

applies through

GMS

5. Request to Apply is sent to EOG

6. Can SA apply?

7. GMS

notifies SA not to apply for grant

NO

9. Does SA receive a NGA?

10. NGA and other documents are uploaded

11. SA enters information needed for GMS to issue FL

NOFO

9.1 SA is notified

NO

13. FL NOFO

is displayed on Grants

Portal

12. GMS

generates

FL NOFO

15. Applicant applies for FL

NOFO

14. Is applicant eligible?

16. GMS

compiles applications

YES

YES

14.1 Applicant is

notified

NO

YES

17. SA

determines who is chosen

18. Is applicant chosen?

18.1 Applicant is

notified

NO

19. GMS develops Agreement docsYES

21. SA monitors grant performance and compliance

24. Data Warehouse provides data to

Analytics for analysis

25. Data is displayed on Grants Portal

20. Subrecipient submits deliverables

22. GMS invoices FLAIR/PALM for payments

23. GMS initiates Closeout when all deliverables are submitted and paid.

F IGURE 8: DATA MANAGEMENT PROCESS FLOW

Executive Office of the Governor of Florida 28

TABLE 6: DATA MANAGEMENT PROCESS TABLE

# Step Title Step Description Role

Federal NOFO is displayed on grants portal.

Grants portal pulls information on NOFOs from Grants.gov and displays information.

Grants Portal

SA indicates intent to apply for federal

NOFO.

A SA indicates interest in applying for a federal NOFO. SA/EOG/Applicant

GMS downloads NOFO to data

Warehouse and creates a request to apply.

GMS notified by Grants Portal to upload the federal NOFO. As a result, a

Request to apply is created.

GMS

4 Information resides in data warehouse. Information resides in data warehouse. Data Warehouse

5 Request to apply is sent to EOG. EOG reviews the Request to Apply. GMS

6 Decision: Can SA apply?

EOG determines whether the advertised grant is in the best interests of the state.

SA/EOG/Applicant

No: GMS notifies SA not to apply for grant.

SA is told to pass on NOFO and information is sent to Data Warehouse

(Step 4).

GMS

8 Yes: SA applies through GMS.

SA makes Grant Application in GMS through interface with Grants.gov. All application information is stored in the data warehouse (Step 4).

SA/EOG/Applicant

9 Decision: Does SA receive NGA? GMS is notified of federal decision to fund or not to fund. GMS

9.1 No: SA is notified. GMS notifies SA they were not selected. GMS

Yes: NGA and other documents are uploaded.

Information from the NGA is retrieved by the data warehouse. GMS

SA enters information needed for GMS to issue FL NOFO.

SA enters any required information that is not part of the NOFO or NGA. SA/EOG/Applicant

12 GMS generates FL NOFO.

Based on information from the NOFO, NGA, and anything entered during

Step 11, the GMS builds a FL NOFO.

GMS

13 FL NOFO is displayed on grants portal.

The FL NOFO is posted on the grants portal and an announcement is sent to anyone that requested to be notified of similar grants.

Grants Portal

14 Decision: Is applicant eligible.

Based on criteria established in Step 12, the GMS will determine if an applicant is eligible to apply.

Executive Office of the Governor of Florida 29

# Step Title Step Description Role

14.1 No: Applicant is notified. If the applicant is not eligible, they are notified by the GMS. GMS

15 Yes: Applicant applies for FL NOFO. The applicant applies for the FL NOFO through the GMS. SA/EOG/Applicant

16 GMS compiles applications.

The GMS collects applications until the due date has passed. All information is sent to the data warehouse (Step 4).

GMS

17 SA determines who is chosen.

The SA reviews and scores applications to decide which applicants will be funded.

SA/EOG/Applicant

18 Decision: Is applicant chosen?

The SA enters application results into GMS. All information is sent to data warehouse (Step 4).

SA/EOG/Applicant

18.1 No: Applicant is notified.

Applicant is notified by email that they will not be receiving funds from the

FL NOFO.

GMS

19 Yes: GMS develops agreement docs.

The GMS creates the agreement documents that the SA has chosen as the procurement mechanism.

GMS

20 Subrecipient submits deliverables.

As per the terms of the contract or agreement, the subrecipient submits deliverables. These documents are sent to the data warehouse (Step 4).

SA/EOG/Applicant

SA…