DHHS COE Meeting Agenda

Contract Compliance ReportingContract UpdateQuestions and Answers

Office of Procurement &

Contract Services

Quarter 3 – SFY 2015Contract Report for Center of Excellence

April 2015

Q3 - Average Number of Days Contract or Amendment Approvals (RFPs not included)

Average# of Days

Average# of Days

Average# of Days

DivisionsInternal Division

DepartmentReview Total

DAAS 15 1 16DCDEE 16 12 28DHSR 7 20 27DIRM 0 0 0DMA 31 8 39DMH 7 12 19DSOHF 20 5 25DPH 10 7 17DSB 0 0 0DSDHH 0 0 0DSS 24 9 33DVR 3 12 15Rural Hlth 4 7 11DD Council 0 0 0HR 0 0 0Prop & Constr 0 0 0ExecMgt 0 0 0Controller 0 0 0

12 10 22

3rd Quarter 2014 - 2015

Q2 - Average Number of Days Contract or Amendment Approvals

January February March 3rd Quarter0

5

10

15

20

25

30

Internal Department Total Avg Day

Q1 - Q3 - Department Timely Approvals

Contracts or amendments rec'd for approval more than 30 days

prior to the effective date

12%

Contracts or amendments rec'd for approval less than 30 days

prior to the effective date

47%

Contracts or amendments rec'd for approval on or after effective

date

41%

Contract Approal Time-Frames Q1 & Q2 & Q3 Combined 2014 - 2015

Department Timely ApprovalsQ2 - Monthly Comparison

January February March 3rd Quarter0%

5%

10%

15%

20%

25%

30%

35%

40%

45%

50%

% On or after the effective date

Received for approval On or After the Effective Date

Q3 - Contract and Amendment Approval Times (RFPs not included)

Division

% more than 30

days prior to effective

date

% less than 30 days prior to effective

date

% on or after

effective date

Other - Including

Legislative increase

amendments

DAAS 0% 0% 100% 0%DCDEE 30% 10% 60% 0%DHSR 0% 100% 0% 0%DIRMDMA 0% 50% 50% 0%DMH 0% 100% 0% 0%DSOHF 50% 33% 17% 0%DPH 35% 65% 0% 0%DSBDSDHHDSS 25% 62% 13% 0%DVR 67% 33% 0% 0%Rural Hlth 0% 100% 0% 0%DD CouncilHRProp & ConstrExecMgtController

Q3 - Divisions submitting all contracts prior to the effective date

Division of Health Service Regulation

Division of Mental Health

Division of Public Health

Division of Vocational Rehabilitation

Division of Rural Health and Community Care

Q3 - Compliance Rating Monthly Comparison

January February March Qtr 30

10

20

30

40

50

60

70

80

310

26

39

5

20

12

37

Compliant Non-Compliant

33 %

68 %

51 %

In Compliance %

38 %

Q3 - Compliance Rating

Division

# of Contracts or Amendments Reviewed by

OPCS # C

om

pli

an

t

%

In

Co

mp

lian

ce

DAAS 1 0 0%DCDEE 10 2 20%DHSR 9 0 0%DIRMDMA 2 0 0%DMH 4 3 75%DSOHF 6 2 33%DPH 26 21 81%DSBDSDHHDSS 8 5 63%DVR 3 2 67%Rural Hlth 7 4 57%

DD CouncilHRProp & ConstrExecMgtController

Overall: 76 39 51%

Divisions with a Compliance Rating above 90%

None to report for this Quarter

Divisions with a Compliance Rating at or above 75%

Division of Mental Health – 75 %Division of Public Health – 81 %

Division # No

n Co

mpli

ant

# No

n Co

mpli

ant

Miss

ing D

iv.

Appr

ovals

# No

n Co

mpli

ant

Miss

ing D

ept.

appr

ovals

# No

n Co

mpli

ant

Cont

ract

or

Form

s#

Non

Com

plian

t

Wor

kshe

ets

# No

n Co

mpli

ant

Gene

ral C

over

# No

n Co

mpli

ant

Scop

e of

Wor

k

# No

n Co

mpli

ant

Perfo

rman

ce

Mea

sure

s#

Non

Com

plian

t

Othe

r Edit

s re

quier

d#

Non

Com

plian

t

HR S

alary

&

Fring

e#

Non

Com

plian

t

Cont

ract

or

Budg

et#

Non

Com

plian

t

Fund

ing

# No

n Co

mpli

ant

Othe

r

# No

n Co

mpli

ant

Main

Rec

ord

# No

n Co

mpli

ant

Evalu

ation

Se

ction

# No

n Co

mpli

ant

Cont

ract

Ge

nera

tion

DAAS 1 100% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0%DCDEE 6 60% 0 0% 1 10% 1 10% 2 20% 2 20% 3 30% 2 20% 0 0% 0 0% 1 10% 0 0% 0 0% 0 0% 0 0% 0 0%DHSR 0 0% 0 0% 1 11% 0 0% 0 0% 0 0% 1 11% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0%DIRMDMA 1 50% 0 0% 0 0% 0 0% 1 50% 2 100% 2 100% 2 100% 0 0% 0 0% 1 50% 0 0% 0 0% 0 0% 0 0% 0 0%DMH 1 25% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0%DSOHF 2 33% 0 0% 0 0% 0 0% 1 17% 2 33% 1 17% 2 33% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0%DPH 0 0% 0 0% 1 4% 0 0% 0 0% 1 4% 4 15% 1 4% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0%DSBDSDHHDSS 1 13% 0 0% 0 0% 0 0% 0 0% 0 0% 2 25% 2 25% 0 0% 0 0% 1 13% 0 0% 0 0% 0 0% 0 0% 0 0%DVR 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 1 33% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0%Rural Hlth 1 14% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 2 29% 1 14% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0% 0 0%

DD CouncilHRProp & ConstrExecMgtController

Overall:13 17% 0 0% 3 4% 1 1% 4 5% 7 9% 13 17% 12 16% 1 1% 0 0% 3 4% 0 0% 0 0% 0 0% 0 0% 0 0%

83% 100% 96% 99% 95% 91% 83% 84% 99% 100% 96% 100% 100% 100% 100% 100%

I -T

imel

y Ap

prov

al

II - Approval ProcessIII - Document

Review

IV - Contract Review V - RFA,Q,P

% of ALL contracts that have a problem in this

Overall Positive Compliance Rate for the

Q 3 - OPCS Reviews

Q1 – Q3 – Areas of Compliance( RFPs not included)

Areas of Compliance 2015 Q1 Q2 Q3

I - Timeliness Timely Approvals 76% 34% 83%

Division Approvals 98% 100% 100%

Department Approvals 97% 99% 96%

Contractor Forms 97% 94% 99%

Worksheets 90% 91% 95%

General Cover 98% 96% 91%

Scope of Work 86% 89% 83%

Performance Measures 87% 90% 84%

Other Edits 100% 99% 99%

HR Salary & Fringe 100% 99% 100%

Contractor Budget 93% 96% 96%

Funding 100% 97% 100%

Other 100% 96% 100%

RF? Main Record 100% 100% 100%

RF? Evaluation Section 100% 100% 100%

RF? Contract Generation 100% 100% 100%

II - Approval Process

III - Document Review

IV - Contract Review

V - RFA,Q,P

Executed Contract

Uploading the executed contract in OW continues to be an issue for some divisions.Be sure to include this step in your contract development – monitoring internal process.Management continues to have questions regarding contracts and request documentation from the system.

Omni Circular

New Federal Omni-(Super) Circular effective December 26, 2014. The final guidance supersedes and streamlines requirements from OMB Circulars A-21, A-87; A-110, and A-122; A-89, A-102, and A-133 A-50. If you have not had an opportunity to attend one of these meeting please contact Steven Fowler. There are also a couple of webinars being presented by Maximus along with training done by State Office of Budget and Management.

Omni Circular

The department is still meeting to address some outstanding questions in regards to how we are impacted by the Omni Circular. The primary concern seems to be with indirect cost and the correct audit determination classification. This information will be shared once finalized.

Federal Award Identification Information (pass-through entities)

Per the Omni Circular the following information (next slide) is required for pass-through entities. Some of you are already including this information into your contract per a memorandum# 2011-11 from the Controller’s Office dated 3/15/11. OPCS is working with others in the department to approve the new contract changes to be programmed in OpenWindow as a separate attachment that will print out with the contract package. You will be notified “if” and “once” approved.

Federal Award Identification Information Requirements for pass-through entities

NEW Contract changesREQUIREMENT NOTES

Subrecipient Name Must match Duns Name

Subrecipient Duns Number  

Federal Award Identification Number (FAIN)  

Federal Award Date Date Signed by the Federal authorizing official

Period of Performance (Start and End Date)  

Amount of Federal Funds Obligated by this Action  

Total Amount of Federal Funds Obligated to the Sub recipient

Ask in application or RFA, for prior year funding

Total amount of the Federal Award  

Federal Award Project Description  

Name of Federal Awarding Agency  

CFDA #  

CFDA Name  

R&D (Y/N)  

Federal Award Identification Information Requirements for pass-through entities

NEW Contract changesREQUIREMENT NOTES

Agency Name, Awarding Official and Contact Info  

Federal Award Indirect Cost Rate  

Federal Award Terms and Conditions (if applicable) See Contract General Terms and Conditions Section: Federal Statues, regulations and terms and conditions

All Requirements See Scope of Work Section

Additional Requirements Required financial and performance reports (See Contracts Section)

Risk Evaluation Complete Yes/No

Subrecipient indirect cost rate(or de minimis)  

Access to Subrecipient’s Records and Financial Statement See Contract General Terms and Conditions

Terms and Conditions of Close out of Subaward See code of federal regulations Title 2, Subtitle A, Chapter 11 200-343-5; closeout adjustment, continuing responsibilities and collection amount due

Specific Conditions, if any Could be additional reporting, etc.

Subrecipient Cumulative Federal awards > $750,000 Yes/No

Award Verified  

ReportsRemember to:

Manage the status of your contracts and reflect accordingly in OW.All contracts being circulated for final approval should be in process status…not draft statusExecute your contracts in a timely manner and upload the entire executed contract The system automatically copies over all of the funding entries so you can edit as needed. If you do not need to edit particular funding entries, please delete these entries to get rid of the superfluous zeroes.