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Do Not Pay Business Center Jenny Rone Director, Outreach & Business Processes January 2015.

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Presentation on theme: "Do Not Pay Business Center Jenny Rone Director, Outreach & Business Processes January 2015."— Presentation transcript:

1 Do Not Pay Business Center Jenny Rone Director, Outreach & Business Processes January 2015

2 L EAD ∙ T RANSFORM ∙ D ELIVER Page 2 2014 Transformation Two major releases within the last few months A new architecture provides:  An improved user interface  Increased efficiency More substantive data sets continue to be incorporated - significantly increasing the ability to identify potential improper payments A New Day for Do Not Pay

3 L EAD ∙ T RANSFORM ∙ D ELIVER Page 3 Top 10 Tech Innovations That Will Transform Society and Governance “New technologies can have revolutionary impacts with widespread and unexpected benefits. Technology can also serve as a tool to enable governments to better serve their citizens.” #8 – Do Not Pay Portal 12/22/14 Brookings Institute

4 L EAD ∙ T RANSFORM ∙ D ELIVER Page 4 multi-functional analytics tool A multi-functional analytics tool one-stop data shop and one-stop data shop built to help federal agencies improper payments detect and prevent improper payments Do Not Pay (DNP) is…

5 L EAD ∙ T RANSFORM ∙ D ELIVER Page 5 Help prevent, reduce, and stop improper payments while protecting citizens’ privacy DNP’s Mission is to… Partner with agencies to identify potential fraud, waste, and abuse in federally funded programs while protecting citizens’ privacy

6 L EAD ∙ T RANSFORM ∙ D ELIVER Page 6 Improper Payments – the basics $106 billion in improper payments issued in FY 2013 The Problem All improper payments degrade the integrity of government programs Reducing improper payments is a top priority Not all improper payments represent a loss to the government and not all improper payments are fraudulent

7 L EAD ∙ T RANSFORM ∙ D ELIVER Page 7 Improper Payments – what, how, and why Why? – Documentation and Administrative Errors Authentication and Medical Necessity Errors Verification Errors What? – Payments made to the wrong entity, in the wrong amount, or for the wrong reason

8 L EAD ∙ T RANSFORM ∙ D ELIVER Page 8 Improper Payments Legislation & DNP

9 L EAD ∙ T RANSFORM ∙ D ELIVER Page 9 The Problem (part of) The Solution DNP – A Tool in an Agency’s Toolbox $106 billion in improper payments issued in FY 2013

10 L EAD ∙ T RANSFORM ∙ D ELIVER Page 10 DNP Built on a Strong FoundationPeopleGovernanceTechnologyData DNP Program

11 L EAD ∙ T RANSFORM ∙ D ELIVER Page 11 It’s a Partnership - DNP Provide a centralized system that agencies can use to determine whether a payment is proper or improper – one which is committed to providing: more and better quality data continuous system development service enhancements DNP does not: inform an agency whether a payment is proper or improper stop payments UNLESS they are approved/established in conjunction with agency Role and Responsibility

12 L EAD ∙ T RANSFORM ∙ D ELIVER Page 12 It’s a Partnership – Federal Agency Adjudication - the process by which agencies review the results of matches received from DNP and determine whether a payment is proper or improper. Determination of “proper vs. improper” are made consistent with existing laws, regulations, and guidance related to those particular payments. Agencies can work with DNP to establish business and stop payment rules. Federal Agency Role and Responsibility

13 L EAD ∙ T RANSFORM ∙ D ELIVER Page 13 Breaking it Down - One-stop Data Shop One Source – Many DatasetsMany Sources - Many Datasets VS. Death – SSA Excluded Parties – GSA, HHS Credit – SBA, VA, DOJ, HUD, USDA, Ed Debt – Treasury Foreign Asset Control - Treasury Incarceration – SSA Do Not Pay Verification Records System of Records Notice – 01/14

14 L EAD ∙ T RANSFORM ∙ D ELIVER Page 14 Batch Matching Single On Line Search Breaking it Down Multi-functional Analytics Tool Continuous Monitoring Advanced Analytics One tool supporting an agency’s business processes and financial management controls Payment Integration

15 L EAD ∙ T RANSFORM ∙ D ELIVER Page 15 DNP throughout the Payment Lifecycle Pre-award Verify award eligibility Pre-payment Re-verify or monitor eligibility for payments Research matches Post-payment Analyze data and trends Conduct reporting Implement corrective action At Time of Payment Review matches from payment integration On-line single search Batch Matching Continuous Monitoring Advanced Analytics Payment Integration Agency Adjudication On-line single search Batch Matching Continuous Monitoring

16 L EAD ∙ T RANSFORM ∙ D ELIVER Page 16 At Time of Payment 4. Payment Integration Payment Integration Helping agencies seamlessly comply with IPERIA DNP, at time of payment, performs matches against the: Death Master File (DMF)-Public includes Social Security Number, Name, Date of Death, Date of Birth, Verified or Proof Indicator System for Award Management (SAM)-Exclusion Records- Restricted includes exact name, DUNS, TIN, full address and information about debarment

17 L EAD ∙ T RANSFORM ∙ D ELIVER Page 17 Agency Adjudication Process DNP identifies conclusive, probable and possible matches Agency notified of matches and logs onto portal Prioritize critical matches Research internal business rules that apply to matches Investigate further, confirm matches & document decision Determine and identify “proper” or “improper” 1 2 3 4 5 DNP suggests the following steps to successful adjudication Apply applicable rules 6 7 8 Ensure alignment with existing process and mission

18 L EAD ∙ T RANSFORM ∙ D ELIVER Page 18 OMB Circular No. A-136 X. Agency reduction of improper payments with the Do Not Pay Initiative. Financial Reporting Requirements

19 L EAD ∙ T RANSFORM ∙ D ELIVER Page 19 Pre-Award / Pre-Payment 4. Payment Integration Helping agencies verify eligibility through the DNP Portal Continuous Monitoring Batch Matching Single On Line Search One-off search to verify eligibility up front or further research a match identified during payment integration Verify eligibility up front for a group (e.g., potential grant recipients) Monitor eligibility for a group that receives recurring payments (e.g., approved vendor list) Agencies Adjudicate Matches from these activities too…..

20 L EAD ∙ T RANSFORM ∙ D ELIVER Page 20 Death Master File (DMF) Public [SSA] List of Excluded Individuals & Entities (LEIE) Public [HHS] Office of Foreign Assets Control (OFAC) Public [Treasury] System for Award Management (SAM) Exclusion Records Public & Restricted [GSA] SAM Entity Registration Records Restricted [GSA] Treasury’s Offset Program (TOP) Debt Check Restricted [Treasury] Credit Alert System or Credit Alert Interactive Voice Response System (CAIVRS) Restricted [SBA] Currently Available through the Portal

21 L EAD ∙ T RANSFORM ∙ D ELIVER Page 21 Availability Pending through the Portal CAIVRS Restricted [VA, DOJ, Education, HUD, USDA] List of Excluded Individuals & Entities (LEIE) Restricted [HHS] Prisoner Update Processing System (PUPS) Restricted [SSA]

22 L EAD ∙ T RANSFORM ∙ D ELIVER Page 22 Public vs. Restricted – Let’s Talk CMA Computer Matching Agreements must be established for…. any computerized comparison of two or more automated systems of records or a system of records with non- Federal records for the purpose of establishing or verifying the eligibility of, or continuing compliance with, statutory and regulatory requirements by, applicants for, recipients or beneficiaries of, participants in, or providers of services with respect to cash or in-kind assistance or payments under federal benefit programs

23 L EAD ∙ T RANSFORM ∙ D ELIVER Page 23 Single On Line searches Statistical matches Matching program between public data sources or those not aligned to a system of records Matching programs that do not involve verifying eligibility in a Federal benefit program –Example: When the purpose of the match is to make procurement decisions Payment Integration ( Treasury handles this for you in the payment stream ) CMAs are NOT Required for…

24 L EAD ∙ T RANSFORM ∙ D ELIVER Page 24 Matching against data sources with personally identifiable information (PII) on U.S. citizens; deceased are not covered by Privacy Act Typically, only Federal benefit programs providing cash or in-kind assistance to individuals are covered Presently, only batch and continuous monitoring users will need CMAs to match against restricted sources within Treasury’s Working System CMA Triggers

25 L EAD ∙ T RANSFORM ∙ D ELIVER Page 25 DNP and CMAs Office of Management and Budget OMB M-13-20, Protecting Privacy while Reducing Improper Payments with the Do Not Pay Initiative Two Important Documents Do Not Pay Verification Records System of Records Notice (SORN #.023) JAN 2014 Enables DNP to derive data and retain records, and enter into CMAs

26 L EAD ∙ T RANSFORM ∙ D ELIVER Page 26 TopicExcerpt CMA Lifespan Matching programs have a termination date of less than three years. Agencies may renew these CMAs for a maximum of three years. Review Period Data Integrity Boards (DIBs) have a 60-day deadline for review of a CMA. If circumstances do not permit the DIB to approve or disapprove the DNP matching program within 60 days, the DIB shall provide a brief memorandum to the head of the agency (or to the Inspector General in cases where the Inspector General proposed the matching program) describing the necessity for the delay. Cost Benefit Analysis Agencies' cost-benefit analyses for a DNP matching program need not contain a specific estimate of any savings. CMA Process – OMB M-13-20 Highlights of OMB M-13-20, Protecting Privacy while Reducing Improper Payments with the Do Not Pay Initiative:

27 L EAD ∙ T RANSFORM ∙ D ELIVER Page 27 Typical CMA Process without DNP SORN GSA CMA HHS CMA Treas CMA LEIE SAM TOP Federal Agency

28 L EAD ∙ T RANSFORM ∙ D ELIVER Page 28 CMA Process with DNP SORN LEIE SAM TOP DNP – Treasury’s Working System (SORN #.023) Federal Agency DNP CMA MOU

29 L EAD ∙ T RANSFORM ∙ D ELIVER Page 29 “…Treasury's Working System includes Treasury's system of records for Do Not Pay, as well as other activities such as investigation activities for fraud and systemic improper payments detection through analytic technologies and other techniques…” M-13-20 & Data Analytics

30 L EAD ∙ T RANSFORM ∙ D ELIVER Page 30 Moving on – Advanced Analytics Creating and executing predictive models Identifying specific and generalized scenarios Analyzing matching trends within and across agencies Matching agency payment data against data sources using program-specific business rules Level 4 Level 3 Level 2 Level 1 Eligibility Data Agency Data Financial Data Demographic Data Payment Data (validated; disbursed; post-payment) Data source shared with Payment Management Data Sources

31 L EAD ∙ T RANSFORM ∙ D ELIVER Page 31 Adjudication Advanced Analytics RiskAnalysis Identify Assess Treat Monitor Assembling Data into Information and Information into Insight

32 L EAD ∙ T RANSFORM ∙ D ELIVER Page 32 Helping to strengthen Government-wide Financial Management Controls on Payments Business Process Mapping In-depth examination of the entire payment disbursement system Components examined include program’s objectives, target beneficiaries, eligibility requirements, awarding criteria, and verification processes Resulting in development of: improved improper payment detection methods business rules and/or stop payment rules

33 L EAD ∙ T RANSFORM ∙ D ELIVER Page 33 GREAT!!!! With DNP you have…. But I Have a Pre-award/Payment Process

34 L EAD ∙ T RANSFORM ∙ D ELIVER Page 34 Identifying payments to be stopped or recovered Preventing future improper payments Agencies Are Having Success

35 L EAD ∙ T RANSFORM ∙ D ELIVER Page 35 Contact Information Want to Learn More? Sign up for our mailing list to receive updates on new functionality and data sources or to schedule a demo. http://www.donotpay.treas.gov/MailingList.htm visit us at: www.donotpay.treas.gov 1-855-837-4391 donotpay@stls.frb.org DNP Executive Director: Kevin.Jones@fiscal.treasury.gov202-504-3516 DNP Director of Outreach & Bus. Processes: Virginia.Rone@fiscal.treasury.gov 202-874-6185


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