TRAINING PPCS 101 Powerpoint 3 3 2017 without RFP...
Transcript of TRAINING PPCS 101 Powerpoint 3 3 2017 without RFP...
• Louisiana Constitution• Louisiana Revised Statutes
39:1551‐1755• Louisiana Administrative Code
Title 34, Part V• Executive Orders:
• JBE 16‐36 – Cooperative Endeavors• JBE 16‐38 – Line Item Appropriations • JBE 16‐37 – Hudson Initiative• JBE 16‐55 – Emergency Procedures
What laws govern OSP‐PC contracts?
Applicability of LawExpenditures of public funds by the Executive Branch of the
State
Some exemptions in law (RS 39:1554 & 39:1619)
Types of Contracts Professional
Personal
Consulting
Social Services
Interagency/Intergovernmental
Cooperative Endeavor Agreements
Professional
Work rendered by an individual who has a professed knowledge, who has a prolonged and specific intellectual training as distinguished from mere skill.
The professions listed are the ONLY services classified as professional services by OSP‐PC.
May be awarded without competitive bidding or negotiation
Professional Lawyers Doctors Dentists Psychologists Certified Advanced Practice Nurses
Veterinarians
Architects Engineers Land Surveyors Landscape Architects Accountants Actuaries Claims Adjusters
Personal Work rendered by individuals which require use of creative or artistic skills or highly technical or unique individual skills or talents
Awarded without competitive bidding or negotiation
Examples of Personal Contracts Graphic Artist SculptorMusician PhotographerWriter Handwriting Analyst Court Reporter Foreign Representative
Expert Witness Paramedical Therapist Private Investigator Sign Language Interpreter
Consulting Work rendered by an individual or firm who possess specialized knowledge, experience or expertise to investigate assigned problems; to provide counsel, review, design, development, analysis, or advice in formulating and implementing programs or services or improvement to programs and services.
This is a broad category of services.
Consulting
Consulting services are COMPETITIVE and are limited to $49,999 for a 12 month period or the RFP process must be used.
Examples of Consulting ContractsManagement Finance (Banking services) Revenue Enhancement (claims recovery)
Appraising Planning Data Processing (IT) Advertising Public Relations
Social Services• Furtherance of the general welfare of the citizens of Louisiana
• Services are COMPETITIVE and are limited to $249,999 for a 12 month period or an RFP must be processed
Social Services REHABILITATION AND HEALTH SUPPORT
Teen Pregnancy Prevention Louisiana Rehab Services Alcohol & drug abuse treatment Family planning services
HABILITATION AND SOCIALIZATION Day care services Transportation services In home respite care Nursing home services
Social Services PROTECTION FOR ADULTS AND CHILDREN
Victims of family violence Adoption services Crisis intervention services like emergency shelters
IMPROVEMENT OF LIVING CONDITIONS AND HEALTH Energy Assistance / Weatherization Distribution of food commodities Educational and employment needs of eligible individuals
Evaluation, testing, and remedial educational services for handicapped and disabled nonpublic school students
• Identifying, assessing and evaluating handicapped children
• Development of individualized educational programs for disabled or handicapped children
Social Services
•Must be sent to OSP-PC for approval (Executive Orders JBE 16-36 and 16-38)
•Line Item Appropriation CEA’s must follow the format and guidelines on the OSP-PC website
Cooperative Endeavor Agreements
What is a CEA?LA Constitution, Article VII, Section 14 says in:
Section A : No things of value shall be loaned, pledged or donated
Section B : Lists authorized uses of public funds Section C : For a public purpose, the State may engage in cooperative endeavors
Three Prong TestPublic entity must have legal authority to make
expenditure, and must show:
A public purpose That expenditure or transfer does not appear to be gratuitous
That the public entity has a demonstrable, objective, and reasonable expectation of receiving at least equivalent exchange value
CEA’SCEA’s MUST contain the following:
A monitoring plan A provision requiring the contractor to provide written reports every 6 months
A comprehensive budget Goals, objectives and performance measures A fiscal funding clause
CEA’SCEA’s CAN:
Exceed the $49,999 limit for consulting services and the $249,999 limit for social services
Have a term greater than three years
Interagency Agreements
Are between executive branch state agencies (See RS39:1556 C)
Must be submitted to OSP‐PC for review Are exempt from RFP, but must follow all other contract requirements
Intergovernmental Agreements Are between a state agency and a political subdivision (local or federal)
Are exempt from OSP review and approval under RS39:1554 J.2 except for procurement of social services
These agreements can be with police juries and other parishes, as well as other states
What Requires Competition? (Using an “RFP”)
Consulting Services greater than $49,999 per 12 month period
Social Services greater than $249,999 per 12 month period
Caution: Determine your service needs up front. If the estimated cost for those services are for $50,000 for
consulting or $250,000 for social services or more for a 12 month period, it must be competitively procured.
Caution
RS 39:1619.B.7 and RS 39:1622.B specifically state:
“Service requirements shall not be artificially divided so as to exempt contracts from the request for proposal process.”
Sole SourceSole source is defined when only one exists for the services requested by the using agency and the vendor does not sell through distributors/dealers.
Examples: 1. The contractor is the owner of a source code or proprietary software 2. The contractor is the single source with the unique capabilities to
perform the service3. The contractor is the only contractor that provides the scope of
services required by the using agency
Sole SourceSole Source procurement can be made only after the requesting agency submits the required documents for pre‐approval.
Letter of request to the OSP Director form the Agency Secretary or Undersecretary or authorized designee which fully explains why the agency believes the situation qualifies as a sole source. The letter must address whether any other sources exist for the requested services, and explain why the services are necessary for the agency and why a competitive process is not warranted. See R.S. 39:1619B (1) and LAC Title 34, Part V, Chapter 25, Subchapter B. 2542.A.2‐4.
Letter from the contractor justifying the assertion that the services are a sole source. Provide information regarding proprietary software, unique capabilities, etc.
Sole Source Supporting documentation should be included, such as outside
research, determinations by other government entities, grant documents.
6 Years of past contracting history for the services being requested, including CFMS/LaGov#, contractor name and contract amount. Indicate whether any of those contracts were the result of a sole source approval. If so, provide copies of any previous sole source requests.
Date of the most recently completed RFP for the services requested and the result of that RFP, if applicable.
Proposed sole source contract, including the proposed term and amount.
Emergency ContractsEmergency Contracts in this instance are those not governed under Executive Order.
An emergency is defined as a situation which creates a threat to public health, welfare, safety or public property. The using agency which requests an emergency procurement must indicate in writing the basis of the emergency.
Emergency procurement can be made only after the requesting agency submits the required documents for pre‐approval.
In dire emergency an agency head must act regardless of pre‐approval.
Emergency Contracts1. Letter of request for Emergency condition to the OSP Director from the Agency Secretary or Undersecretary or authorized designee which fully explains why the agency believes the situation warrants an emergency, what critical services must be provided via an emergency contract, and the consequences of not having a contract in place.
2. 3 years of past contracting history (if applicable) for the services being requested, including CFMS/LaGov #, contractor name and contract amount. Indicate whether any of those contracts were the result of emergency requests.
Emergency Contracts3. Date of the most recently completed RFP (if applicable) for the services requested.
4. Status of the current RFP for the services requested, including date it was sent or will be sent to OSP‐PC for review. Proposed schedule of events for the RFP.
5. Proposed draft Emergency Contract, including the proposed term and amount.
Approval of contracts
R.S. 39 1624 provides that before approving a proposed contract for professional, personal, consulting, or social services, the State Chief Procurement Officer (or an assistant) must have determined that the contracting using agency has specified the following:
Approval of contracts
Purpose and Duration
Specific Goals and Objectives
Measures of Performance
Plan for monitoring the services to be provided
Approval of contracts
No current state employee is performing the service
If contractor is a corporation, it has complied with Secretary of State’s laws and rules
That money is available to pay for the services and that the agency has statutory authority to enter into the contract
Reviews resumes for consulting services
RS 39:1623Certification by using Agency
No employee is competent or available to perform contracted services
Services are not available as a product of an existing contract
RFP requirements, if applicable, have been met
Certification
A written plan exists that provides for the assignment of a monitor, for reviewing reports, and for ultimate use of final product
Cost basis for the contract. Your cost basis needs to be justified and reasonable.
Certification
Description of specific objectives or deliverables and the monitoring plan
Methods to be used to measure and determine contract performance
For any contract lasting more than 6 months and totaling more than $50,000, a cost benefit analysis shall be conducted
Goals & ObjectivesGoals – Broad, general intentions, intangible
Establish direction and destination, describe the general end results toward which effort is directed
Objectives – Narrow, precise, tangibleSpecific, measurable targets
Both are mindful of the purpose of the contract, project, or grant.
Goals & Objectives
Goal – provide educational opportunities to Louisiana workers to secure and retain jobs
Objective – provide 12 classes in welding and woodworking to recently laid‐off workers at ABC company
Goal – increase productivity of departmental employeesObjective – send 100% of the staff to a time management class
Performance Indicators
• Tools used to measure performance
• Should be measurable & time bound
• Established in advance, are specific targets and should be simple and understandable
Performance IndicatorsExamples :
1. Schedules with due dates2. How many employees or clients were trained by a
specific date3. Number of revisions to the proposed plan4. Response time of 48 hours on request for a legal
opinion5. Number of persons who were able to get a job after
receiving education training and counseling
Monitoring Plan
• Who will monitor performance? (name of person or unique title)
• How and with what frequency will performance be monitored? (monthly, weekly, in reports, in meetings, by telephone, written reports, email)
Monitoring PlanHow will performance progress be reported? Format and frequency?
How will performance data be validated (or audited) to ensure accuracy?
Example: The contract will be monitored by John Smith, program evaluator, on a weekly basis by determining the number of students attending the training. The contractor will provide sign‐in sheets for validation purposes.
Minimum Contract Requirements Appropriate original signatures – NO stamped or electronic signatures
Beginning / Ending dates – real ones, not “shall begin on date of approval and extend for one year”
Description of work & goals/objectives
Maximum amount and schedule of payments to be made –negotiate clear payment terms so contractor knows how he can bill and when he can bill
Minimum Contract Requirements Itemized budget if cost reimbursement
Deliverables
Schedule of deliverables
Performance Measures
Monitoring plan
Minimum Contract Requirements
Responsibility for taxes (Tax ID)
Termination clauses – for cause and convenience
Remedies for default clause
Legislative Auditor clause
Minimum Contract Requirements Assignability clause
Any required anti‐discrimination language
Travel requirements – PPM 49 (OR) Travel is included in the cost
Fiscal funding clause if the duration of the contract crosses a fiscal year
Minimum Contract Requirements Appropriate approvals
Civil Service – online approval
Attorney General
Legislative Auditor – for financial auditing services of state agencies
Office of Telecommunications Management
Minimum Contract Requirements Appropriate Governing Board – Board of Regents, LCTCS
Office of General Counsel – Legal Services
Delegation of Authority – Agency’s signature has authorization to sign
Attachments Signed BA‐22 form
Certification letter (if contract is greater than $5,000)
Late letter – if submitted to OSP‐PC more than 60 days after begin date of the contract
Board Resolution (corporation)
Attachments Disclosure of Ownership (for‐profit corporation unless publicly traded)
Certificate of Authority (for‐profit , out‐of‐state corporation)
Resumes for consultants
Multi‐year letter – for contracts that extend beyond 12 months
Attachments Justifications:
Advance payment (see RS 39:1613 B ‐ G) MUST be certification from the agency that procurement of services requires the advance and that no other source of funding is available
Amendment – if the contract came to OSP‐PC, so must the amendment, even if the amendment if for zero dollars
Sole Source Emergency
Advance PaymentsRarely Allowed
Only under certain circumstances; never for professional services contracts (see RS 39:1613)
Limited to a sum not to exceed 20% of total contract amount
Contractor is a nonprofit corporation
Interagency contracts are exempt from complying with Subsections B and C of RS 39:1613
Common Delays
Lack of clear goals & objectives, performance measures, or monitoring plan IN contract
Lack of specific person named as monitor
Poor payment terms – unclear information; dates for deliverables are outside of the beginning and end date
Common Delays
Lack of proper signature authority or Board Resolution from corporation
Lack of FILED Disclosure of Ownership with Secretary of State
Lack of resume(s) for consulting services contracts
Common Delays OSP‐PC will hold a contract/amendment for a “reasonable amount of time” then it will be returned without action for you to re‐submit
OSP‐PC’s performance indicator says we will process contracts in 3 weeks. (Keep in mind this is if your contract/amendment has no issues)
OSP‐PC expects agencies to be proactive in developing the contract and insuring it contains ALL necessary elements and attachments before submitting for review
Delegation of Authority for Small Procurements
MUST have delegation in writing from OSP‐PC
Who is responsible?AGENCY
Same requirements of RS 39:1551‐1755
Services cannot be artificially divided so as to constitute a small purchase
Agency with Delegation of Authority MUST send monthly reports to _DOA‐OSP‐[email protected] whether or not you’ve issued any contracts/amendments that quarter
Performance EvaluationWhat does RS 39:1569.1 (B) Require?
• Within 60 days of completion of services, a performance evaluation is to be completed. This includes contracts/amendments approved under Delegation of Authority
• Using agency has FULL responsibility for diligent administration and monitoring of contract
• If your contract/amendment was approved by OSP‐PC, a copy MUST be sent to OSP‐PC. If the contract was approved in ProAct, please submit your performance evaluation in ProAct. If the contract was approved in LaGov, please submit your performance evaluation to DOA‐[email protected].
Performance EvaluationWhat are the consequences for NOT submitting
the P.E. on time?1. Your agency will receive an email notification that
gives you 5 business days to submit a delinquent P.E. report
2. If your agency doesn’t submit the P.E. report in 5 business days, OSP‐PC will return the contract without action (RWA).
3. Your agency will not be able to contract with the contractor until the P.E. is received and approved.
Content• Name of agency personnel responsible for ensuring services were provided
• Name of contractor, amount, cost basis• Contract timetable which reflects proposed and actual work dates
• Contract modifications• Listing of deliverables and whether or not they were satisfactory and timely completed
• Problems encountered• Assessment of the utility of the deliverables
Content
Final evaluation reports for contracts greater than $250,000 MUST be submitted to legislative auditor
Delinquent final evaluation reports could prevent future contracting with the contractor
OSP WebsiteWealth of Information that includes:
• Copies of laws, regulations, and Executive Orders
• Sample contracts, amendments, and letters
• Guidelines and formats
• Information for contractors
• Useful links