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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.