FEMA Grant Programs Directorate Strategic Plan Fiscal Years 2009-2011 FEMA P-734 / October 2008 Table of Contents Introduction 1 * Strategic Plan Overview 1 * Grant Programs Directorate Overview 2 * Introduction to Strategic Plan 3 Strategic Goals with Objectives and Strategies 4 * Goal 1: Emphasize employee development and human capital planning 4 * Goal 2: Team with internal and external stakeholders 5 * Goal 3: Provide accurate and timely information and services 6 * Goal 4: Build a robust and standardized data analysis capability 7 * Goal 5: Streamline, standardize, and document key processes 8 Aligning Goals 9 Implementing Strategies 10 Appendices 13 * A: Grant Programs Directorate Organization Chart 13 * B: Grant Lifecycle 14 Summary of Strategic Plan GPD Vision The one-stop-shop for credible programmatic and financial grant leadership providing transparent data processes, collaborative partnerships with stakeholders, and a connection to Homeland Security priorities and outcomes. GPD Mission Statement Manage federal assistance to measurably improve capability and reduce the risks the Nation faces in times of man-made and natural disasters. GPD Strategic Goals 1. Emphasize employee development and human capital planning to ensure a continuous pipeline of knowledgeable staff to support the grants management lifecycle 2. Team with internal and external stakeholders to build partnerships and increase communication 3. Provide accurate and timely information and services that positively guide and influence grantees’ use of federal funding 4. Build a robust and standardized data analysis capability to quantify benefits and demonstrate the importance of grants management to Homeland Security priorities 5. Streamline, standardize and document key processes to promote collaboration and consistency across regions and programs Grant Programs Directorate Overview Formally created on April 1, 2007 in accordance with the Post-Katrina Emergency Management Reform Act (PKEMRA), the Grant Programs Directorate (GPD) consolidated the grant business operations, systems, training, policy and oversight of all FEMA grants and the program management of the suite of preparedness grants. The new directorate was formed from three legacy organizations: • FEMA Grants Management Branch • DHS Office of Grants and Training – Office of Grant Operations • DHS Office of Grants and Training – Preparedness Programs Division GPD is the one-stop-shop for grants management at FEMA. Over the last year, GPD integrated the functions of its legacy organizations to create a single entity responsible for business management of all FEMA grant programs and for the programmatic management of the full suite of preparedness grant programs. In addition, the directorate has achieved many milestones including: • Financial management of $10 billion in federal funding across 50 grant programs for FY 2007; • Programmatic management for over 7,000 individual grants and more than $4 billion in preparedness grant funds; • Collaboration with the National Preparedness Directorate and other FEMA and DHS partners to create a fully integrated, interdisciplinary system of support and services for stakeholders and partners; • Development of stronger relationships with the FEMA Regions including direct contacts in the Regional National Preparedness Division and Regional Management Division. This coordination established a more active role for the FEMA Regions in the administration and monitoring of grant programs. GPD’s focus is on improving grants management and related efforts to ensure meaningful and measurable results. By providing outstanding customer service to all grantees as well as internal and external partners; engaging state, local, and tribal stakeholders through consistent outreach and discussion; and ensuring transparency in the grant process, GPD enhances the Nation’s level of preparedness and the public’s ability to prevent, protect and mitigate against, respond to and recover from all hazards. GPD is now entering a new stage in development as it sets forth its first Strategic Plan and continues to establish a strong presence at FEMA. This is a time of forward movement when clarifying the mission of GPD, strengthening its role, and defining priorities is essential. Introduction to Strategic Plan Strategic thinking and planning is the cornerstone to GPD’s future. Establishing new directions and goals is necessary to provide continued development and growth. This strategic plan provides a framework to help define GPD, set direction, focus efforts and guide decision-making. Furthermore, the plan outlines how the directorate will meet its goals and reach its vision of the future by providing the necessary foundation for coordinated development and implementation. The GPD Strategic Plan is a multi-year document which includes a vision, a mission statement and strategic goals. Each strategic goal is supported by objectives and strategies that represent accomplishments which will contribute to the achievement of the goal (see Figure 1.) The list of strategies is not exhaustive. It is understood that employees and partners contribute regularly to the achievement of the strategic goals and objectives through strategies not listed in the Strategic Plan. In accordance with this, the plan and its contents was designed as a headquarters based plan to guide strategic direction for GPD. It is not intended to provide direction or encompass the full scope of grants strategy across FEMA. As our strategic partners, the FEMA Regions or other grant giving FEMA Directorates can utilize this plan to feed into their own planning activities, and it is expected that they will be active participants in the implementation of our efforts. Figure 1: GPD Strategic Planning Structure Vision: What GPD aspires to become Mission: The unique purpose that justifies GPD’s existence Strategic Goals: What needs to be accomplished to bring the Vision to reality Objectives: How GPD can achieve the Goal Strategies: Specific activities that support the Objective GPD Mission & Vision 1. GPD Goal 1.1. Objective 1.1.1 Strategy 1.1.2. Strategy 1.2 Objective 1.2.1. Strategy 1.2.2. Strategy 1. GPD Goal 1.1. Objective 1.1.1 Strategy 1.1.2. Strategy 1.2 Objective 1.2.1. Strategy 1.2.2. Strategy 5. GPD Goal 5.1. Objective 5.1.1. Strategy 5.1.2. Strategy 5.2. Objective 5.2.1. Strategy 5.2.2. Strategy 5. GPD Goal 5.1. Objective 5.1.1. Strategy 5.1.2. Strategy 5.2. Objective 5.2.1. Strategy 5.2.2. Strategy 2. GPD Goal 2.1. Objective 2.1.1 Strategy 2.1.2. Strategy 2.2 Objective 2.2.1. Strategy 2.2.2. Strategy 2. GPD Goal 2.1. Objective 2.1.1 Strategy 2.1.2. Strategy 2.2 Objective 2.2.1. Strategy 2.2.2. Strategy 3. GPD Goal 3.1. Objective 3.1.1 Strategy 3.1.2. Strategy 3.2 Objective 3.2.1. Strategy 3.2.2. Strategy 3. GPD Goal 3.1. Objective 3.1.1 Strategy 3.1.2. Strategy 3.2 Objective 3.2.1. Strategy 3.2.2. Strategy 4. GPD Goal 4.1. Objective 4.1.1 Strategy 4.1.2. Strategy 4.2 Objective 4.2.1. Strategy 4.2.2. Strategy 4. GPD Goal 4.1. Objective 4.1.1 Strategy 4.1.2. Strategy 4.2 Objective 4.2.1. Strategy 4.2.2. Strategy Strategic Goals with Objectives and Strategies GOAL 1 Emphasize employee development and human capital planningto ensure a continuous pipeline of knowledgeable staff to support the grants management lifecycle. Employees are the key to organizational success. GPD’s top priority is to establish a highly-trained workforce with attention to employee development and human capital planning. GPD will focus on a wide range of human resource activities including professional development, technical grants training, performance management, and the implementation of rewards to ensure incentives are provided to employees. In addition to implementing specific human resource improvements, GPD will work to improve human resource planning in order to more accurately predict future staffing needs and ensure that all positions are filled in a timely manner. Objectives: 1.1 Analyze the work distribution of federal employees and contract support Strategies: 1.1.1 Conduct workforce analysis 1.1.2 Implement recommendations (e.g., human capital plan) 1.1.3 Validate data 1.2 Hire talented and diverse workforce to support capability Strategies: 1.2.1 Develop recruiting and retention strategies 1.2.2 Ensure vacant positions are filled in a timely manner 1.3 Ensure all employees have the knowledge, skills, and abilities to perform their role and grow within the organization Strategies: 1.3.1 Maintain Individual Development Plans for each employee 1.3.2 Develop new employee orientation program 1.3.3 Provide employee development opportunities and training (e.g., rotational assignments and cross-training) 1.4 Establish performance metrics for each employee which are linked to directorate and branch level goals Strategies: 1.4.1 Identify division-level priorities that link to GPD Goals 1.4.2 Develop branch-level goals that link to division-level goals 1.4.3 Develop individual employee goals which will collectively result in the implementation of branch goals 1.5 Work within FEMA HR guidelines to develop and implement rewards for employee performance to recognize the right people, at the right time, in the right way Strategies: 1.5.1 Conduct analysis of existing department and directorate reward structures 1.5.2 Develop recommendations for improvement 1.5.3 Implement needed improvements GOAL 2 Team with internal and external stakeholders to build partnerships and increase communication. GPD relies on the strength of its partnerships to accomplish its mission. GPD will strengthen its collaborative relationships through a renewed focus on communication and outreach with the goal of improving strategic partnerships. This includes the creation of new forums to allow for the open exchange of ideas across regional and programmatic boundaries. As GPD works to bring its diverse stakeholders closer to the decision-making, it will provide critical information and open new vehicles for feedback and recommendations. Objectives: 2.1 Ensure all GPD Stakeholders (e.g., employees, grantees, general public) are aware of information and activities that affect them Strategies: 2.1.1 Develop GPD Communication Plan 2.1.2 Create vehicles for communication and feedback 2.1.3 Regularly monitor and measure the effectiveness of communication efforts 2.2 Provide forums for stakeholders to meet and exchange ideas and information Strategies: 2.2.1. Establish and publish protocols for regular engagement with internal and external partners 2.2.2 Regularly engage all program offices and FEMA regions 2.2.3 Support conferences and outreach opportunities for stakeholder groups throughout the grant management lifecycle GOAL 3 Provide accurate and timely information and services that positively guide and influence grantees’ use of federal funding. One of GPD’s primary responsibilities is to provide customer service to FEMA grantees through the development and management of grant programs and cooperative agreements. As the directorate improves its internal processes, it will continue to provide a diverse customer base with the timely awards of federal funding combined with the strategic and technical assistance needed to maximize the use of that funding. This includes facilitating and guiding customers through the entire grant management lifecycle and providing the expertise and monitoring support necessary to ensure lawful use of federal funding. Objectives: 3.1 Develop and distribute program guidance in accordance with congressional directives and DHS/FEMA policies and priorities Strategies: 3.1.1 Develop guidance to effectively communicate to applicants the program purpose, priorities, and requirements related to implementation 3.1.2 Ensure consistency, accuracy, and compliance with Federal regulations and requirements in all grant guidance packages 3.2 Analyze applications, conduct reviews, and make awards in a timely manner Strategies: 3.2.1 Establish metrics for timeliness and responsiveness to grantees and stakeholders while meeting all Federal requirements from application to closeout of grants 3.2.2 Engage applicants and stakeholders during the application, review, and award phases to address concerns and ensure alignment to programmatic intent 3.3 Respond accurately and in a timely manner to grantees’ programmatic and fiscal inquiries regarding management of grants Strategies: 3.3.1 Ensure effective management of grants through consistent communication and dialogue with grantees 3.3.2 Determine standards for responsiveness to grantees specific to each division and branch 3.4 Monitor and evaluate grantee performance and use results to recommend enhancements or changes Strategies: 3.4.1 Create a monitoring plan each fiscal year and analyze monitoring report outcomes 3.4.2 Ensure timely completion of annual programmatic monitoring activities to help enable the effective implementation and performance of GPD programs 3.5 Provide business and financial, technical, programmatic, and systems training to all FEMA grantees Strategies: 3.5.1 Identify appropriate technical assistance opportunities for grantees to assist in the programmatic implementation of GPD programs 3.5.2 Ensure the delivery of training to grantees on a regular basis GOAL 4 Build a robust and standardized data analysis capability to quantify the benefits and demonstrate the importance of grants management to Homeland Security priorities. Converting data into a structured format is central to the work of GPD. GPD will bring together various grant management systems in order to improve data collection and analysis methodologies. The system improvements will facilitate efficiencies in data collection, data reporting, and data analysis to provide all GPD stakeholders with reliable and valid reports that demonstrate the effectiveness of FEMA grant programs and the stewardship of public funds. Objectives: 4.1 Implement the Non-Disaster Grants System Strategies: 4.1.1 Communicate with all stakeholders 4.1.2 Train internal and external users 4.1.3 Launch release of the Non-Disaster Grants System 4.1.4 Manage data migration and interim analysis solutions 4.2 Develop Cost-to-Capabilities (C2C) assessment Strategies: 4.2.1 Analyze Grant Program Accomplishments from FY 2003-FY 2007 4.2.2 Develop Requirements for a C2C Model 4.2.3 Continue to refine requirements for the C2C Model 4.3 Optimize all systems that support the grants management lifecycle Strategies: 4.3.1 Manage new systems implementation (e.g., EMMIE) 4.3.2 Provide systems training to all user groups GOAL 5 Streamline, standardize and document key processes to promote collaboration and consistency across regions and programs. GPD was created from three different legacy organizations with varied processes and protocols. In order to drive toward increased efficiencies, the directorate will work to integrate processes across programs and across grant types. Integration will provide more consistent and standardized programmatic and financial management of all grants. GPD will also focus on the documentation of our processes and procedures to institutionalize needed changes and formalize the grant development and financial management processes. Increased documentation will lead to more effective internal controls and stewardship practices. Objectives: 5.1 Document programmatic and financial processes which support the grant lifecycle Strategies: 5.1.1 Identify key processes throughout the grant management lifecycle that require further definition 5.1.2 Identify opportunities to standardize processes across programs and regions to create efficiencies 5.1.3 Evaluate processes for efficiency 5.1.4 Develop GPD policies on key processes Alignment to FEMA Strategic Goals FEMA’s overall vision is to transform the agency into the Nation’s Preeminent Emergency Management and Preparedness Agency. For the Agency to achieve this vision, it is essential for the directorate’s goals and strategies to directly support and align to the Agency’s goals. By aligning directorate goals and coordinating implementation, the Agency at-large can consistently focus on moving toward the same vision of success. As GPD set out to develop its strategic plan, the directorate started with FEMA’s Strategic Plan and the goals for the Agency. GPD built upon these goals with the intent to establish directorate level goals that target and drive the overall plans for FEMA. The table below illustrates the distinct connection of GPD goals with FEMA’s goals. FEMA Strategic Goals Goal 1: Lead an integrated approach that strengthens the Nation’s ability to address disasters, emergencies, and terrorist events. Goal 2: Deliver easily accessible and coordinated assistance for all programs . Goal 3: Provide reliable information at the right time for all users. Goal 4: FEMA invests in people and people invest in FEMA to insure mission success. Goal 5: Build public trust and conidence through performance and stewardship GPD Strategic Goals Goal 1: Emphasize employee development and human capital planning. Aligns with FEMA Strategic Goal 4. Goal 2: Team with internal and external stakeholders. Aligns with FEMA Strategic Goals 1 and 3. Goal 3: Provide accurate and timely information and services. Aligns with FEMA Strategic Goals 2 and 3. Goal 4: Build a robust and standardized data analysis capability. Aligns with FEMA Strategic Goals 1, 3, and 5. Goal 5: Streamline, standardize and document key processes. Aligns with FEMA Strategic Goals 2 and 5. Implementing Strategies As stated in the FEMA Strategic Plan, the Agency’s strategic goals and objectives, beginning with the FEMA mission statement, must cascade to each FEMA employee to ensure alignment with the strategic direction of the Agency. All GPD employees must understand how the work they do contributes directly to the Agency’s goals. To operationally connect individual employee contribution to the FEMA and GPD goals, the GPD Division Directors and Branch Chiefs must work to break down the goals to the individual employee level. This is accomplished through the development of division-level priorities derived from the GPD Strategic Plan’s goals and objectives. The division level priorities mark the first level of implementation as the Division Directors operationalize the strategic objectives contained herein. The GPD branches must then develop detailed plans which would contain tasks that are performed by individual employees. These cascading goals allow all employees to understand how their work connects to furthering the FEMA mission. This process is also critical in the development of employee level metrics for performance. As the goals cascade down, the schedule for goal completion rolls up through the Agency. The completion of employee performance goals leads to completion of branch-level goals and on up to the FEMA strategic goals. In this way, the Agency is able to measure and track its progress. It also demonstrates the necessity of GPD to work collaboratively to ensure that all the goals are achieved since it is the sum of individual performance that leads to completion of goals. The following figures provide specific examples of how individual employee goals from the GPD’s Grants Management Division and the Grant Development & Administration Division cascade down from a specific FEMA Strategic Goal. Please note these examples are provided for illustrative purposes and do not reflect the actual performance plans of any single employee. Cascade down of FEMA Strategic Goals to individual employee goals (Grants Management Division) FEMA Strategic Goal # 1: Lead an integrated approach that strengthens the Nation’s ability to address disasters, emergencies, and terrorist events FEMA Objective #1.4: Engage stakeholders in developing and communicating clear national doctrine and policy both internally and externally Grant Programs Directorate Goal #4: Streamline, standardize, and document key processes to promote collaboration and consistency across Regions and programs Grant Management Division Priority: Document grant policies to drive consistency across programs Accountability, Management, and Oversight (AMO) Branch Project: Create Agencywide grant policies AMO Branch Chief (Supervisor) Performance Goal: Closeout policy is drafted by April 2009 AMO Employee Performance Goal: Schedule needed meetings, coordinate management of draft throughout review cycle, and deliver by March 2009 Please note these examples are provided for illustrative purposes and do not reflect the actual performance goals of any single employee. Cascade down of FEMA Strategic Goals to individual employee goals (Grants Development & Administration Division) FEMA Strategic Goal #2: Deliver easily accessible and coordinated assistance for all programs FEMA Objective #2.1: Formulate and administer financial assistance programs that are aligned with strategic objectives and delivered through a simple and coordinated process Grant Programs Directorate Goal #5: Streamline, standardize and document key processes to promote collaboration and consistency across regions and programs Grant Development & Administration Priority: Document and analyze State and local progress in achieving grant program requirements Program Management Office (PMO) Branch Project: Develop streamlined and standardized monitoring protocols across grant programs PMO Branch Chief (Supervisor) Performance Goal: Roll-out monitoring protocols by October 15, 2008 PMO Employee Performance Goal: Schedule needed in-services, develop training, and write management directives for new protocols by October 15, 2008 Appendix A: Grant Programs Directorate Organization Chart Assistant Administrator: Deputy Assistant Administrator * Office of Resource Management and Business Administration * Grant Development & Administration Division ** Assistance to Firefighters ** Transportation Infrastructure Support ** Homeland Security Program Branches *** East *** Central *** West ** Program Development and Information Management * Grants Management Division ** Systems and Business Support ** Accountability, Management and Oversight ** Grant Operations Branches *** East *** Central *** West ** Training Grant Development and Administration Division (GD&A) Acts as the executive agent for grant guidance and is comprised of six branches: •The Assistance to Firefighters Grants Branch manages all aspects of the Assistance to Firefighters Grant Program (AFG) including program administration, programmatic monitoring, peer review, and grant reporting. •The Transportation Infrastructure Support Branch manages all aspects of transportation grant programs including program administration, programmatic monitoring, peer review, and grant reporting. •The Homeland Security Grant Programs Branches (East, Central and West) manage all aspects of HSGP, including program administration, programmatic monitoring, peer review, and grant reporting. •The Program Development Branch acts as the executive agent for grant guidance development and is responsible for the negotiation, award, and management of FEMA’s preparedness grant portfolio. Grants Management Division (GMD) Acts as the centralized financial management and business support for all FEMA grant programs and is comprised of six branches: •The Systems and Business Support Branch oversees development, implementation, maintenance, user support, and training for the Agency’s suite of grants management information systems. •The Accountability, Management, and Oversight Branch develops and manages Agency-wide grant policies and operating procedures to assist Headquarters program offices and the Regions in the implementation, award, and management of FEMA grant programs. •The Operations Branches (East, Central and West) perform all pre-award and award grant administration functions; and provide procedural and technical business support to award recipients. •The Training Branch develops and facilitates grant management training for a wide range of FEMA stakeholders. Appendix B: Grant Lifecycle Within the Grant Programs Directorate, GD&A manages the programmatic functions for its programs, while GMD manages the financial grant management for all FEMA grant programs. Together, they represent the full grant lifecycle. Step Grant Programs Directorate / Program Guidance Development For GPD programs, develops the guiding principles and requirements for grant programs. For all FEMA grant programs, assists program offices in the development of new grant and cooperative agreement programs to ensure compliance with the Federal Grant and Cooperative Agreement Act and Appropriations law requirements; reviews and approves program guidance to ensure compliance with Federal, Department and Agency grant requirements. Application Development Develops the templates for grant application and assists states throughout the application process. Risk Allocation Determination Uses risk formula (Risk=Threat (Vulnerability+Consequences)) to make grant funding recommendations for department leadership. Grant Rollout Makes announcement of funding allocations, develops outreach materials of grant guidance and applications; opens official application period. Solicitation Reviews application templates; makes applications available to applicants by posting in eFind and eApply or other eGrants systems (MT eGrants, AFG eGrants). Assists users with application completion, submission, and retrieval. Application Review Reviews programs for eligibility and effectiveness; reviews applications to ensure that all budget items are allowable, reasonable and allocable; ensures that 1) grantees are aware of the terms and conditions of the award, 2) all required Federal forms are submitted and completed correctly; and 3) that program offices have indicated that the application meets the goals and objectives of the grant program. Peer or Federal Review Facilitates the peer review process for GPD programs, and ensures Federal requirements for peer review are met such as completion of conflict of interest forms and ensures a uniform and consistent approach to reviews of applications within the same grant program. Award Develops the award package that is the binding agreement between the government and the grantee. The award package includes the award document, terms and conditions, and award letter. [The award package is signed by an authorized official and is required by OCFO prior to obligating Federal funds for a grant or cooperative agreement.] Congressional Notification Develops three-day letters and clearance through FEMA, DHS, and OMB. Notification of Award Announces federal assistance award to the grantee; Grantee receives the award package and accepts the grant award (either through expending funds or formal acceptance – signature on the award package). Payment Federal government transfers funds into the local grantee accounts beginning with grantee request to draw down funds. The methods for requesting grant payment across the grant programs in FEMA include: Smartlink, PARS, manual – SF 270, and AFG eGrants system. Post-Award Grants Management Lifecycle Supports FEMA’s Regions, States and other stakeholders throughout all stages of the post-award grants management lifecycle through policy development/implementation, oversight, and operational support. The post-award grant lifecycle includes: amendments and revisions; closeout process; cash analysis; audit resolution and processing; financial monitoring; programmatic monitoring; and a comprehensive data reporting, and analysis function. Training of Grants Management Staff Trains all grants management staff, develops/ implements the professional development curriculum for grant professionals; trains grantees on Federal grant requirements; trains program managers on Federal grant requirements and program manager responsibilities. Development, Testing and Training on eGrants systems Manages the development of the ND Grants System; trains users on the eGrants systems including the development and implementation of the Agency’s two eGrants systems – ND-Grants for non-disaster grants (GPD is lead) and EMMIE for disaster grants (IT is lead). Evaluation and Feedback Provides an opportunity for FEMA GPD and its partners to assess the implementation and/or progress of the grants lifecycle for that year, and develop strategies for improvement or change of direction for the next year.