Human Services Department Contract Process Phases

1. HUMAN SERVICESDEPARTMENT • PROCESS PHASE • Pre‐Contract • Contract Development & Approval • Contract Monitoring, Oversight & Compliance • Contract Close‐Out • Contracts with contractor's signatures are routed through DFA & TRD for signature • System sends contract package to DO,ASD, OGC and OOS for review and approval • Signature contract is sent to contractor and placed in central repository by system • CM does contract or determines whether an amendment is needed to extend contract terms • CM takes training for certification and/or for personal review • Contract is sent to contractor for review and signature • System generates purchase order and sends to contractor • CM submits approved invoice for payment • Establish need for service • CM selects contractor • Contract package generated • Contractor provides services • CM receives invoice from contractor • CM reviews and approves invoice • Process Step • CM develops SOW • Process steps & Description • CM goes through a series of training sessions and obtains CM certification. Once certified, necessary access software for developing SOW will be granted; CM will be able to access list of other certified CMS to ask questions • CM is made aware of the need for a service through automated notification indicating i) need for amendment of a contract or new contract and ii) budget availability and funding stream. CM or Mgmt. confirm services can't be performed by the Division or other agencies. • CM/Mgmt. discuss what should be included in the SOW. Information from previous contracts located in a central repository can also be used to create the SOW. CM answers a series of questions and software develops an SOW to include deliverables, deadlines, budget and timeline. Questions also identify whether a contractor needs system access or HSD trainings. CM reviews the materials developed by the software. System determines whether BAA is needed and the type of contract. • SOW is automatically sent to Horizons. CM develops list and/or criteria for potential providers. CM refers to approved vendor list (state purchasing) and ratings to narrow down list of potential providers. CM contacts the potential providers to verify they can perform the services. CM may obtain quotes from potential contractors. • System interfaces with SHARE to obtain contractor vendor ID. Contractor uploads signed W9 form (if vendor ID cannot be confirmed in SHARE), campaign contribution form & DFA forms. System generates requisition for SHARE. • MAD staff receives pre- approval electronically, along with BHSD contract manager. and OGC are automatically notified that the contract is ready for review. ASD and OGC review and pre-approve the package. OOS are automatically notified that the contract is ready for review. OOS reviews and pre-approves the contract. • Contractor receives an alert with link to proposed contract. Contractor reviews proposed contract and provides electronic signature/acknowledgement through application or portal. • System routes contracts to DFA and TRD and captures signatures. • System routes signed contract to contractor and places it in central repository, which starts the retention schedule. • System interfaces with SHARE to create purchase order and grant access to required trainings and systems for Contractor • CM and contractor discuss how the services will be delivered and the due dates. • Contractor uploads invoice (standardized invoice form) for CM to review and invoice is autochecked • CM ensures the deliverables meet contract requirements (quantity, quality, etc.) Invoice must match deliverables • System interfaces with SHARE to receive Invoice. Invoice is incorporated into payment log. If this is the final invoice, System notifies ASD & CM of contract closeout. (depends on whether payment is approved or denied). • CM determines that all deliverables have been delivered within the terms of the contract. CM prepares transition to new contract. Debriefing with the contractor, if necessary. CM determines need for amendment. CM and Contractor submit rating / background information on process. • Responsible • Accountable • Consulted • Informed R A C I • All divisions /Burea • CM becomes certified • CM confirms services cant be performed elsewhere • CM answers system questions • CM develops criteria and contacts potential vendors • Do reviews and approves contract packages • CM works with contractor. • CM reviews and approves • invoice. • CM is notified. • DO confirms services cant be performed elsewhere • Bureau Chief and DO approve system generated SOW • ASD reviews and approves • contract package. • ASD is notified. • CM debriefs with contractor. • HSD/ASD • HSD/OGC • OGC reviews and approves • contract package. • Systems Involved • MMISR, MS Word, Outlook, Central Repository, SHARE • Outlook, MMISR, SHARE • MMISR interfaces with • SHARE • MMISR, Software, Outlook • MMISR, Software • Software, Outlook • MMISR & Central Repository • MMISR interfaces with SHARE • MMISR interfaces with SHARE • HSD/OOS • OOS reviews and approves • contract package. • Touchpoints can be reduced by approximately 53%. • Touchpoints • Reduction • DFA & TRD • DFA reviews and signs contract. • In Phases 1 & 2, staff time can be reduced by approximately 75% • Staff hours • reduction • Handoffs • Reduction • The number of handoffs can be reduced by 31% • TRD reviews and signs contract. • Pain Points • Addressed • Budget availability will be confirmed through system and • funds will be earmarked for • contract. Staff will no longer wait • for someone to get back to them with this information. • An approved vendor list • with possible vendors • reduces the amount staff • spend trying to find a • vendor. • Forms auto‐populated and • generated from a system reduce the amount of time • staff spend trying to find out which forms are necessary and what information is needed. • There will no longer be a • need for manual routing in colored folders. • Staff will no longer have to wait for snail mail delivery of • signed contract from contractor. • The purchase order is autogenerated • and delivered to the • contractor and the CM reducing the waiting time for delivery of the purchase order. • HSD contractors are able to get immediate access to systems and • trainings. • Invoices are • processed • electronically • reducing the amount of time and resources dedicated to creating invoice packages and • entering information into SHARE.

2. Note: Review the full list of ideas generated from the workshop. Combine ideas that are similar and make the verbiage succinct. Put the final list into this format and identify which ideas are MMISR impacted. The journey redesign workshop generated solution ideas that could be implemented to improve the Small Purchase Contract Management experience • Invoice Processing & Payment • Contract Approval & Signatures • Contract Development & Pre-Approval 1 • Create a “Contract Training Manual” and Training element to a contract processing module to create SOW and clearly map out the contracting process. 8 • Design a portal / app to allow for electronic signatures from contractors and signature authorities. 14 • Design a portal / app to allow contractor’s access to upload invoices. Staff Track MMISR impacted • Create a central repository for contract templates, draft SOW, and forms and enable template sections needing to be auto-populated through a series of questions & responses. 2 9 • Design tracking mechanism and progress bar in portal to show status of signatures with time and date stamps. 15 • Create a standardized HSD invoice format for contractors. 3 • Create and implement a budget check process to earmark funds for contract. • Create portal generated notifications to contractor with contract approval & official copy of signed contract. 10 16 • Design a portal progress bar to show status of payment. 4 • Design a system allowing for electronic contract pre-approval routing. 17 • Design system to auto-check invoice for required information (i.e. date, amount, deliverables). 11 • Create text and/or email alerts for overdue contract signatures. 5 • Build system generated timeline with ticklers/reminders for activities/approvals needed for new and existing contracts. 12 • Design system identification of back-up signature authority if authorized signer is out of office. 18 • Design system to auto-generate notification of missing or insufficient information on invoice. 6 • Create a chat/coaching function to allow for user’s questions to be answered as soon as possible. 13 20 19 21 • Create a communication history log between contract manager and contractor. • SHARE integration for auto-receipting of invoice and generating payment history log. • Capability to automatically generate full payment, reduction or denial including supporting reason stated by contract manager. • Create an auto-generated central repository of watermarked and signed final contracts. 7 • System generated timeline would build a progress bar identifying necessary steps and stage of completion through process. Include time/date stamp on all activities for accurate accounting of status. SOURCE: Redesign workshop

3. Note: Sort ideas into immediate actions and strategic investments (long term investments). The solution ideas were then synthesized and prioritized to identify a set of immediate actions and strategic investments to consider • Process Changes1 Staff Track • Immediate actions • Strategic investments to consider i • Improve role clarity to determine who is responsible and accountable for each step of the process. • Design and implement a portal for contract approval, signatures and invoice processing and payment to allow for a more efficient and transparent process and for building stronger partnerships between agencies and contractors. • Train MAD staff on all aspects of the contracting and payment process. ii • System changes Create and implement a budget check process to earmark funds for contract. • Allow for a more controlled process by the contract manager over contract development, approval and invoice processing and payment to reduce the number of hand-offs and build talent and skill development in agency staff. iii • Organizational Changes2 • Create a Contract Process Training Manual to be used among Divisions to ensure a consistent process is being used. iv • Integrate systems to streamline invoice processing and payment reducing the number of errors in processing and reducing delay of payment to contractors. • Create a Central Repository for all final contracts to reduce the number of paper copies within the Divisions. v • Design and implement a standardized invoice format to reduce errors and ensure information is sufficient. vi • Collaborate with other agencies to design and implement an electronic signature approval process. vii viii • Develop and implement workflows for use throughout the contracting process and provide necessary training for HSD employees. ix • Development and implement a visual aid for contracting and invoice processing and payment status (internal and contractor). 1 Process changes are improvements that can be implemented within MAD 2 Organizational changes require collaboration across divisions and/or agencies (e.g. DOH, Long-term Aging Services, etc.)

4. Note: For each immediate action, detail the outcomes that the action will enable and which MMISR model it will impact if applicable. Ten actions have been identified to enable the near-term changes to measurably improve the Small Purchase Contract Management experience Staff Track • MMISR SOLUTIONS MODULES IMPACTED • IMMEDIATE ACTIONS • OUTCOMES ENABLED None. • Reduced number of hand-offs and clear/standardized responsibilities at each step • Improve role clarity to define and minimize who is accountable/responsible for each process step i • Increase staffs’ understanding of the process requirements to build talent in staff. • Train MAD staff on all aspects of the contracting and payment process. Financial & Data ii • Create and implement a budget check process to earmark funds for contract. • Clarity for MCOs on report requirements and decreased number of report rejections due to mis-interpretation of reporting requirements iii Financial & Data • Create a Contract Process Training Manual to be used among Divisions to ensure a consistent process is being used. iv • Clearly define roles, steps and requirements of process to reduce errors, hand-offs, out reach efforts for responses to questions. Financial & Data & Portal (potentially) • Reduce number of copies of contract held in divisions and the amount of time spent searching for copies. • Create a Central Repository for all final contracts to reduce the number of paper copies within the Divisions. Financial & Data & Portal v Financial & Data • Design and implement a standardized invoice format to reduce errors and ensure information is sufficient. vi • Reduce back and forth between ASD staff, admins, contract managers and contractors regarding incomplete or insufficient invoices. • Reduce the time spent manually moving a contract for signatures. vii • Collaborate with other agencies to design and implement an electronic signature approval process. Financial & Data & Portal • Develop and implement workflows for use throughout the contracting process and provide necessary training for HSD employees. viii • Reduce the possibility of lost contracts and move contracts through the process more efficiently. Financial & Data & Portal • Develop and implement a visual aid for contracting and invoice processing and payment status (internal and contractor). • Allow for a more transparent process and reduce the number of calls and emails to check on status. ix Financial & Data & Portal SOURCE: Team Analysis