Grants Management
Grants.gov Has Systematic Weaknesses That Require Attention
GAO-09-589, Jul 15, 2009
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In response to the Federal Financial Assistance Management Improvement Act of 1999, the Office of Management and Budget (OMB), among other things, developed Grants.gov as the central grant identification and application portal for federal grant programs. OMB oversees the initiative and named the Department of Health and Human Services (HHS) its managing partner. Grants.gov officials have acknowledged noticeably degraded system performance, and grantees have reported difficulties submitting applications that have in some cases led to late or incomplete submissions and lost opportunities for both grantees and populations served. Through analysis of agency documents, a Web-based survey of federal grant-making officials, and interviews with agency officials and grantee associations, this requested report examines (1) the benefits of Grants.gov and applicant experiences with submitting applications, (2) the governance structure of Grants.gov, and (3) the range of agency policies for processing Grants.gov applications.
Grants.gov has made it easier for applicants to find grant opportunities and grantors to process applications faster, but applicants continue to describe difficulties registering with and using Grants.gov, which sometimes result in late submissions. Grants.gov customer service staff do not always resolve these issues, especially during off-peak hours and peak submission periods. Clear roles and responsibilities for the Grants.gov oversight entities and coordination among them are critical, yet insufficient, and there are no written policies for how these entities are to work with each other. HHS's Chief Information Officer and the Grants Executive Board (GEB) share responsibility for approving major initiatives and funding for Grants.gov, but there is little evidence that GEB-approved funding for Grants.gov is considered in HHS's review of Grants.gov as an IT investment. This created a disconnect between the services Grants.gov is to provide and the funding needed to purchase them. Untimely payment by the 26 agencies that fund Grants.gov also negatively affects system performance. After informing agencies that it was unable to pay its vendors, the Grants.gov Project Management Office (PMO) developed a system shutdown plan and implemented the first step--it eliminated Web site updates and moved all notices to the Grants.gov blog. Grants.gov also lacks performance measures for important aspects of the system. Finally, grantees lack a structured forum for input on the Grants.gov system and standardized governmentwide grant application policies, limiting grantees' ability to affect a system designed, in part, to streamline the grants application process and ease applicant burden. Disparate agency policies on important aspects of processing applications--such as the criteria for granting appeals for late or incomplete applications and for what constitutes a timely application--burden applicants and sometimes puts applications submitted through Grants.gov at a disadvantage compared to applications submitted through other means, such as other electronic systems or the USPS.
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Recommendations for Executive Action
Recommendation: To increase the effectiveness and long-term viability of Grants.gov, OMB should (1) work with HHS to develop performance measures related to system availability, usability, and data integrity and (2) direct HHS and the Grants.gov PMO to review performance results on a regular and recurring basis and communicate decisions based on performance information to show that performance information is reviewed and acted upon.
Agency Affected: Executive Office of the President: Office of Management and Budget
Status: Open
Comments: HHS reports that it has launched an initiative to implement Foglight, a system performance monitoring tool. As part of this effort, HHS developed a draft set of performance metrics for service availability, system performance, and system usage, and is in the process of discussing the draft measures with its stakeholders to solicit input on potential performance metrics for the Grants.gov system. The system has not yet been fully implemented.
Recommendation: To increase the effectiveness and long-term viability of Grants.gov, OMB should work with HHS to develop guidance that (1) ensures that the Grants.gov budget and funding model adopted by the GEB adequately supports the package of Grants.gov IT services approved through the HHS CPIC process; (2) clearly defines the roles and responsibilities of the GEB, HHS OCIO and Grants.gov PMO with respect to Grants.gov, including how these entities are to coordinate with each other to resolve Grants.gov system issues; and (3) addresses GSA's role and specific responsibilities in developing approaches for longer-term Grants.gov solutions.
Agency Affected: Executive Office of the President: Office of Management and Budget
Status: Open
Comments: (1) HHS provided information on a new IT acquisition approval process implemented in early 2011 as well as evidence of coordination between the OCIO and the Grants.gov PMO. However, HHS did not provide evidence that HHS's OCIO directly receives and reviews the GEB-approved budget for Grants.gov and approves Grants.gov activities based on the GEB-approved funding levels. (2) A Grants Executive Board (GEB) and Grants Policy Committee (GPC) task force proposed a Federal Grants Governance Framework which would consolidate the GEB and GPC into a single council. This proposal remains under OMB review. (3) GSA completed the Federal Opportunities Grant pilot and provided a report for OMB review in August 2010. GSA currently expects the development of Federal Opportunities to be completed in fiscal year 2013.
Recommendation: To increase the effectiveness and long-term viability of Grants.gov, OMB should work with HHS and other stakeholders as appropriate to identify and implement a Grants.gov "applicant user group" or other systematic, periodic approaches for obtaining grantees' input on changes and improvements to Grants.gov system.
Agency Affected: Executive Office of the President: Office of Management and Budget
Status: Open
Comments: HHS reported that Grants.gov Project Management Office (PMO) staff reach out to and receive input from several grantee organizations, including the Joint Application Development group, the Council on Government Relations, the American Association of State Colleges and Universities, and the Federal Demonstration Partnership. It is also discussing draft performance measures with its stakeholders to solicit input on potential performance metrics for the Grants.gov system. However, neither OMB nor HHS has reported the establishment of an applicant user group or another systematic approach for obtaining grantees' input on changes and improvements to Grants.gov.
Recommendation: To increase the effectiveness and long-term viability of Grants.gov, OMB should work with HHS, the Grants Policy Committee, and other stakeholders as appropriate to identify and implement, to the extent permissible by law, governmentwide policies for processing grant applications, with the goals of minimizing applicant confusion and burden and creating a level playing field for all application submissions, no matter the submission method. These policies could address (1) criteria for what constitutes a timely and complete application; (2) notifications grantor agencies provide applicants when an application has been received or been deemed late or incomplete; (3) criteria for granting appeals for applications deemed late or incomplete; and (4) the Grants.gov registration process.
Agency Affected: Executive Office of the President: Office of Management and Budget
Status: Open
Comments: A notice was posted on the CFO Council's Grants Policy Committee website noting that a team of the Pre-Award Work Group of the Grants Policy Committee has been working to propose an OMB response to the GAO recommendation regarding timeliness of applications, including: Bases for what constitutes a timely application; Notification to applicants regarding the timeliness of applications; and Handling of late applications. No further action reported as of April 20, 2011.
Recommendation: To increase the effectiveness and long-term viability of Grants.gov, OMB should also ensure that grantees have a structured, ongoing means to provide input on the development and implementation of governmentwide grant application policies and procedures.
Agency Affected: Executive Office of the President: Office of Management and Budget
Status: Open
Comments: OMB reported reaching out to grantee groups specifically regarding the implementation of Recovery Act and Federal Funding and Accountability Transparency Act grant-related requirements. OMB involved various grantee groups through webinars and conference calls. In addition, the Grants Executive Board and Grants Policy Committee's proposal for a Federal Grants Governance Framework included the goal "engage the grantee community to solicit its input on government-wide grants management." This plan is still under review by OMB. OMB has not provided a timeframe for completing its review.