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An Inter-Agency Audit Office of the Chief Inspector General

An Inter-Agency Audit Office of the Chief Inspector General. ROAD MAP TO EXCELLENCE IN CONTRACTING. Background. Contract Accountability, Who does it? Contract Manager Contract Monitor Quality Assurance Auditors Auditor General OPPAGA CPA (A-133 Single Audit)

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An Inter-Agency Audit Office of the Chief Inspector General

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  1. An Inter-Agency AuditOffice of the Chief Inspector General ROAD MAP TO EXCELLENCE IN CONTRACTING

  2. Background • Contract Accountability, Who does it? • Contract Manager • Contract Monitor • Quality Assurance • Auditors • Auditor General • OPPAGA • CPA (A-133 Single Audit) • Internal Audit (Inspector General)

  3. Background • Contract Accountability, Who does it? • Contract Manager • Contract Monitor • Contractor/Provider

  4. Background • Contract Accountability, Who does it? • Quality Assurance • Medical or clinical • Internal or external

  5. Background • Contract Accountability, Who does it? Auditors • Auditor General • OPPAGA

  6. Background • Contract Accountability, Who does it? Auditors • CPA (A-133 Single Audit) • Internal Audit (Inspector General)

  7. Working Together Seven Governor’s Agencies • Department of Management Services • Department of Transportation • Department of Corrections • Department of Education • Executive Office of the Governor • Department of Juvenile Justice • Department of Children and Families

  8. A Different ApproachWhat Do We Already Know? • Do not duplicate prior work. • Add value • Identify source of problems.

  9. A Collective AnalysisBased on Each Agencies knowledge of the contracting Problems. • Approximately 100 reports examined • Seven Governor’s Agencies • Included Auditor General and OPPAGA • Three year period • 493 Findings analyzed and classified

  10. The Contracting ProcessWhere are the Problems? • Needs Assessment • Procurement Methodology • Contract Writing • Performance Monitoring • Payment • Contract Closure

  11. What it Means and What Do We Do.In-put from procurement staff at seven agencies. • Met with each agency contracting staff • Validated findings • Root causes Identified by agency staff and Auditors.

  12. Report Recommendations.Based on agency staff and auditors analysis • WE FOUND: Procurement Rules, Statutes, Policy, Procedure developed piece meal over time in response to specific abuses or problems. • WE RECOMMEND: The replacement of the myriad overlapping and conflicting statutes and guidelines with one unified, effective system of controls. • MANAGEMENT RESPONDED:We agree and work has already begun. “MyFloridaMarketPlace” is in place and we have a goal to overhaul Chapter 287 which will result in a consistent and unified system of procurement controls.

  13. Report Recommendations.Based on agency staff and auditors analysis • WE FOUND: The lack of centralized statewide direction in the procurement area has led to inconsistent and deficient contracting practices both among and within agencies • WE RECOMMEND: Department of Management Services accept the leadership bestowed by Florida Statute. • MANAGEMENT RESPONDED:We agree and we are in the process of filling the Directors position and have a renewed focus on our leadership and service role.

  14. Report Recommendations.Based on agency staff and auditors analysis • WE FOUND: There is no statewide system to train or certify agency contracting personnel, nor are there incentives to encourage professional development • WE RECOMMEND: A statewide training initiative led by DMS be developed. In addition, we recommend incentives to encourage professionalism and certification for administrators, negotiators, monitors and managers. • MANAGEMENT RESPONDED: We agree, we will use our Office of Organizational Development in coordination with other state agencies to assess training needs and develop appropriate programs and incentives.

  15. Report Recommendations.Based on agency staff and auditors analysis • WE FOUND: The state's corporate culture does not foster the sharing of best contracting practices among agencies. • WE RECOMMEND: DMS create and foster user groups of professional procurement staff that meet on a regular basis to share best practices and common problems. • MANAGEMENT RESPONDED:We agree, in conjunction with MyMarketPlace we have a created a “super-user” group to focus on and address common issues.

  16. Report Recommendations.Based on agency staff and auditors analysis • WE FOUND: Agencies’ use of different processes and procedures in awarding and managing contracts causes the contract documents to vary considerably in format and content. • WE RECOMMEND: DMS, with the assistance of other agencies, develop standard contract formats for use by all state agencies. • MANAGEMENT RESPONDED:We agree and will revise many currently required forms and develop new ones as part of the formal rulemaking planned for the second half of 2003.

  17. Report Recommendations.Based on agency staff and auditors analysis • WE FOUND: Inadequate systems exist for monitoring and rating vendor performance. • WE RECOMMEND: A uniform vendor monitoring and rating system be created which incorporates links to contract monitoring reports, vendor websites, closeout evaluations, and a method for other agencies to access performance evaluations. • MANAGEMENT RESPONDED:We agree and with assistance from other state agencies we will consider ways to develop and implement a uniform vendor monitoring system.

  18. Report Recommendations.Based on agency staff and auditors analysis • WE FOUND: A formal procedure for agencies to perform and document needs assessments has not been developed by DMS. • WE RECOMMEND: DMS fulfill the statutory mandate to develop formal procedures for agencies to perform and document needs assessment. • MANAGEMENT RESPONDED:We agree, with input from state agency experts we will develop needs assessment procedures.

  19. Report Recommendations.Based on agency staff and auditors analysis • WE FOUND: Lack of Expertise in Negotiating Contracts. • WE RECOMMEND: that legislation be proposed similar to the Truth in Negotiations Act to assist contract negotiators in determining whether the contractor’s proposal is reasonable. • WE ALSO RECOMMEND:that DMS offer a negotiating training program for state employees. • MANAGEMENT RESPONDED:Agreement with a discussion of issues but no commitment to action. However will develop a training program for employees.

  20. Conclusion.What we want to happen. • Appoint a point person to review this report and its supporting documentation • Draft the directives needed to implement those recommendations authorized under existing legislation • Draft legislation, as needed, to enable implementation of those recommendations requiring statutory changes • Track the implementation process and report its progress to the Governor

  21. An Inter-Agency AuditOffice of the Chief Inspector General ROAD MAP TO EXCELLENCE IN CONTRACTING

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