ATTACHMENT A – TERMS OF PERFORMANCE AND JUSTIFICATIONS:
This Attachment Form must be used. Insert (type or copy and paste) all relevant information using as many pages as
necessary. Attach any additional supporting documentation as appropriate. If Amending the ISA, completion of
Sections 1, 2 and 3 identifying what is being amended and the reasons for the amendments is required. For sections
4-9 enter only the amended language in the sections being amended.
1.
[REQUIRED] Purpose and other performance goals of ISA, or as amended:
The purpose of this ISA is to obtain administrative services from the Office of Consumer Affairs and Business
Regulations (SCA) centralized administrative services unit (ASU) with financial processing expertise which will
provide same to DOI based upon the authorization of the department head or DOI employees with designated
signatory authorization. This ISA is designed to provide support services to assist the DOI in managing its business
and is not intended to authorize ASU to assume any DOI responsibility, liabilities or authority as provided to the
DOI under its statutory and other legislative authority and mandates. Employees of SCA or ASU shall identify that
they are providing support services for DOI and shall at all times inform DOI of their actions. DOI is responsible
for approval of all plans and transactions.
These support and processing services are provided for the following functions:
o budget planning and reporting,
o accounts payable processing,
o accounts receivable processing,
o procurement assistance and processing,
o human resources
o hiring process
o classification and evaluation
o labor relations
o payroll and benefits
The ASU will work with DOI to ensure that all services provided are consistent with policies, regulations and laws.
The DOI and ASU will each be responsible to keep current with new or additional policies, regulations and laws and
shall establish an internal process to ensure that all vital communications are distributed to key staff in both DOI and
ASU.
All DOI specific services provided are pursuant to decisions made by the DOI department head or DOI senior staff
delegated with decision making authority by the DOI department head. The DOI will evidence timely, ongoing
review and approval of the DOI agency budget documents as described below as well as transaction approval of
contracting, payroll actions, or through other approval processes as necessary. ASU will only process individual
transactions with transaction specific approval by DOI authorized signatories.
The ASU has been selected to provide the processing and other support services based upon the unique and
extensive expertise, institutional knowledge, transactional experience and relationships that ASU has developed with
key staff at oversight agencies such as CTR, OSD, A&F and the Legislature. This ISA is designed to enable DOI to
take advantage of this expertise and partner with ASU to enable DOI to manage its business. However, DOI
understands and agrees that ASU is not assuming or replacing DOI’s responsibility to manage and direct its business
and obligations and DOI must work actively and cooperatively with ASU. The ASU also understands and agrees
that although it is uniquely qualified to perform the ISA functions that it is not acting as the DOI in any capacity and
is responsible for including or informing the DOI in all actions and communications.
2.
[REQUIRED] Identify in detail, the responsibilities of the parties, the scope of services and terms of
performance under the ISA, or as amended:
BUDGET PLANNING AND REPORTING
1.
Prepare for review all budget and revenue planning and reporting including preparation of House 1,
quarterly DOI budget to actual including monthly updates and revenue reports. Meet at the beginning of
the fiscal year with DOI department head and/or DOI senior staff with delegated responsibility to review,
modify and approve the DOI agency budget documents. Provide monthly budget to actual report to DOI
Meet at least quarterly to review, modify and approve agency budget documents
2. Liaison with DOI to A&F on all budget planning and development responsibilities and issues..
3. Liaison with DOI to House and Senate Ways and Means analysts from December through July. Organize
analyst introductory meeting with the DOI department head and/or senior DOI staff .Prepare detailed
budget information pursuant to the DOI agency budget documents and House 1 budget proposal in
response to all analyst information requests, Maintain ongoing communications with DOI department head
and/or DOI senior staff on all developments, issues and significant communications with A&F and/or
Legislature.
4. Generate mid year and year-end budget and revenue reports for review with DOI and A&F.
5. Monitor payroll funding on a biweekly basis to assure sufficient funds. Prepare for processing all LCM
adjustments pursuant to agency budget documents through the Office of the Comptroller and all BGCN
transactions with A&F.
6. Calculate all assessments for DOI approval and ASU processing incorporating all criteria set by statute
into the assessment equations.
7. Prepare reports for federal financial and cash positions as required.
8. Process upon approval all interdepartmental service agreements (ISAs) and expendable trusts.
9. Interface with accounting staff to direct proper budgetary controls over all spending including account,
subsidiary and object code delineation pursuant to DOI agency budget documents as reviewed and
approved by the DOI during the course of the year or other approval documents as necessary.
10. Interface with HR and payroll staff to assure hiring and payroll funding is in place and supported pursuant
to the DOI agency budget documents as reviewed and approved by the DOI during the course of the year or
other approval documents as necessary.
11. Interface with IT and DOI staff to assure funding for initiatives and leasing priorities pursuant to the DOI
agency budget documents as reviewed and approved by the DOI during the course of the year or other
approval documents as necessary.
Service Level and approval process
Spending Plan. Initial Fiscal Year Spending Plan review and approval process commences in July and
continues through August/September timeframe. Process includes ongoing meetings with agency liaison
with final approval by the agency head or designee. Review of spending plan occurs with agency liaison
on a quarterly basis within 3 weeks of the end of each quarter. Review is finalized within 2 weeks.of
meeting(s). Monthly year-to-date expenditure updates are posted on intranet site within two weeks of the
end of each quarter
Budget Adjustments: All adjustments to the spending plan require agency approval. This would include
IE, CT, PC, GAE and RPO encumbrance requests that flow through the agency liasions to accounting for
document processing. Encumbrance approvals may also be generated through on-line Ultimus system
requests. Encumbrance approvals are forwarded to the accounting unit within 24 hours of
receipt.Encumbrance requests by the agency that require A&F transaction approval are initiated within 24
hours of receipt. These include BGTS, BGCN, BGCS documents.
Payroll: Budget establishes LCM rules based on spending plan approval and HR Ultimus actions submitted
by the agency.
Assessments: Specific industry assessments are calculated by the budget unit and forwarded to the agency
for approval pursuant to statutory guidelines. All assessments are developed within 3 weeks of receipt
from agency of industry calendar year statements upon which assessments are based.
ACCOUNTING AND PROCUREMENT
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Process all encumbrance events as communicated by the budget unit and as approved by the DOI on a
transaction specific basis. Process accounts payable events including payment processing, vendor
management; payment verification; historical data query; contract and lease management pursuant to
agency authorizations
Process all accounts receivable events pursuant to the DOI agency budget documents and/or other
document as necessary as approved by the DOI and communicated by the budget unit. including:
assessment billing; Prepare and process billing, customer tables, and past due/intercept/collection/writeoffs as authorized by DOI; maintain cash management integrity; maintain and reconcile all cashbooks
monthly; monthly reconciliation and proper distribution of deposits; problem solve all deposit/lockbox and
other reconciliation issues; refund and reconcile overpayments and duplicate payments; Manage with DOI
liaison compliance with fiscal year cash management closing procedures at both ASU and DOI sites.
Liaison with DOI to the Office of the Comptroller on all accounting and system issues.
Process DOI procurement activity and confirm compliance with DOI policies, state regulations, and audit
requirements
Liaison with DOI to Operational Services Division on all procurement issues. Represent DOI on state
procurement teams.
Attend trainings, meetings, seminars and workshops as needed to learn and maintain up-to-date knowledge
of all systems and regulations. ASU will inform DOI of all trainings, meetings, seminars and workshops
with recommendations for attendance.
Service Level and Approval Process
Procurements. As necessary, Director of Accounting and/or Accounting unit is contacted by the agency
for list(s) of vendor(s) available for use by Executive Branch agencies for purchases, leases, etc. for
compliance to 801 CMR 21.0 procurement rules. Answers are provided immediately upon request or by
the end of the same business day of request. If necessary, Director of Accounting assists agency with RFR
documents, procurement rule interpretation, OSD clarifications and Comm-PASS postings. All final
decisions are made by the agency and incorporated into or are based on the agency’s budgetary spending
plans.
Encumbrances. All encumbrance events (IE, CT, GAE, PC, and RPO) are forwarded to the Accounting
unit by the Budget unit after approval is obtained from the agency and processed within 24 hours of receipt.
Encumbrance events are then forwarded to the Director of Accounting for final review of procurement and
finance law/policy compliance and are approved on-line in MMARS by the end of that business day.
Payments. Invoices are received at the agency, reviewed for accuracy, and agency designee confirms that
the goods or services were received/completed by signing or initialing the invoice. The invoices are
forwarded up to the Accounting unit for processing to payment. All invoices received by the Accounting
unit are reviewed for accuracy and compliance with procurement and finance laws/policies and written up
on approved data entry forms with the invoice and any other backup attached to the back of the form. All
payment forms are approved by Budget or Accounting after a final review and returned to Accounting for
data entry. Travel payments are processed in the same way but data entry is completed by the Payroll unit
based on a summary sheet provided to them by the Accounting unit, with an additional approval by the
Director of Accounting. All payments are processed within 5 business days of receipt from the agency.
Accounts Receivable. All accounts receivable events and revenue documents are based on information
(assessment spreadsheets, daily cash sheets, refund requests, etc.) provided by the agency designee and
processed within 5 business days of receipt of the information and/or before the end of the accounting
period closes. All appropriate cash management, MMARS/BARS management, banking issues, and other
related accounts receivable/revenue processes are completed by the Revenue unit at the request of the
agency in a timely manner.
HUMAN RESOURCES and PAYROLL
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Liaison with agency to HRD and OER; serve on state’s HR Advisory Council representing agency
interests and issues.
Work with agency on all union and grievance issues. Liaison with agency to OER and HRD counsel as
necessary.
Liaison with agency to HRD’s workers compensation unit as necessary.
Enter time and attendance into payroll system utilizing HRCMS and employee reimbursement
processing using MMARS/LCM system. Provide guidance to appropriate agency staff on payroll,
reimbursement policy and operations.
Provide employee benefits administration including payroll deductions such as EILB, GIC enrollment,
Deferred Comp, payroll garnishments for health insurance, retirement, savings bonds, union dues as
well as tuition reimbursement, and T-pass programs. Coordinate annual enrollment notification and
processing, employee orientation, and benefits information meetings.
Process all personnel/payroll, benefits changes and transactions. Prepare reports from HRCMS or
Document Direct as needed.
Manage hiring process which begins with the agency request to post to the agency request to hire
including managing all interfaces with HRD systems as necessary.
Conduct classification reviews for agency union and management positions pursuant to HRD
guidelines and the HAYS evaluation system.
Oversee all affirmative action and diversity reporting.
Coordinate and implement training programs for agency staff and management.
Oversee performance review process for agency union staff (EPRS) and managers (ACES).
Stay current on all federal and state laws and regulations concerning personnel management. Advise
agency management on all matters of legal compliance and compliance with HRD policies and
procedures.
Maintain official personnel file for all agency personnel.
Service Level and approval process
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Agency HR liaison provides information to Director of Human Resources through e-mail, written
correspondence, or telephone, requesting representation and support on specific initiatives.
Agency HR liaison notifies Director of Human Resources through e-mail or telephone of individual
employee or labor issue. May request advice for personnel action plan. Upon request, the HR Director
may serve as Hearing Officer at the Stage II grievance level. HR Director represents agency interests
at Stage III grievance hearing at OER or in arbitration, MCAD, or Labor Relations Board cases.
Agency HR liaison submits employee initial report of injury, medical certification, and medical release
form to HR Director. HR Director completes all e-form documents and files claim at HRD. Payroll
Analyst initiates and processes workers compensation payroll and maintains personnel file.
Agency staff submit employee time sheets and time logs to OCA Payroll Analyst, who enters all
payroll/benefits changes and time and attendance exceptions in accordance with the HRCMS Best
Practices timeframes in place for biweekly payroll processing.
Payroll Analyst conducts weekly employee orientations to assist agency new hires in benefits selection
and processing. Agency staff schedule appointments directly with Payroll Analyst.
Agency managers e-mail Payroll Analyst regarding payroll changes occurring after payroll submission.
Agency staff submit written documentation of all other benefits changes. Personnel Analyst provides
Personnel Action Form to Payroll Analyst for new hires, promotions, reallocations, etc., following the
initiation of such actions by the agency liaisons.
Agency submits Request to Post via Ultimus system. HR Analyst forwards to budget, HR Director &
CFO for approval, then drafts posting and submits to agency for review. After revisions, HR Analyst
then posts on the CEO & conducts other recruitment by agreement with the agency.
Agency submits Request to Hire to HR Analyst, who reviews and approves salary request (or submits
to HRD if benchmark position or Management Grade V or higher). Obtains approval of budget, HR
Director, and CFO. Analyst enters management hires into NIH database. Analyst notifies agency
liaison once all needed approvals have been received (or flags have been lifted).
Agency liaisons initiate classification reviews by written correspondence to Personnel Analyst or
Human Resources Director.
10. After being trained by HRD in automated reporting systems for affirmative action and diversity, HR
Director monitors agency reporting for compliance with approved plans and HRD reporting mandates.
Notifies agency HR liaison of any corrective action needed.
11. Agency Commissioners/Directors and/or HR liaisons notify HR Director of agency training needs. HR
Director researches vendors, coordinates with HRD Training Dept., and schedules trainings according
to funding availability. Notifies agency managers & staff of upcoming trainings, including HRD
mandated trainings, establishes and maintains registration process.
12. After being trained by HRD in automated ACES system for mangers and EPRS system for union
personnel, notifies agency HR liaison of all steps and timeframes in each cycle. Monitors progress and
agency compliance with HRD timeframes; initiates corrective action through reminders if needed.
Provides guidance as needed for agency managers addressing specific performance problems.
13. Attends trainings, meetings, seminars, and workshops as needed to learn legal updates on subjects
including Affirmative Action, EEO, FLSA, FMLA, ADA, retirement law, workers compensation, etc.
Provides updates as needed to HR liaisons through monthly meetings, case conferences, etc.
14. Agency HR liaison submits documentation for inclusion in personnel file. Initiates all personnel
transactions. After Ultimus cycle for hiring process, Payroll Analyst prints documents for inclusion in
personnel file.
Processing timeframes
1. Respond to agency outreach within one week of contact. Attend monthly meetings of HR Advisory
Council.
2. Schedule meeting with agency managers or OER and HRD counsel within one week of contact or
grievance receipt.
3. Complete e-file within 24 hours of receipt of employee Notice of Injury information packet.
4. Payroll Analyst follows HRCMS Best Practices timeframes in place for biweekly payroll processing.
5. New Employee Orientations are scheduled weekly.
6. All personnel changes and benefit changes are processed during the biweekly pay cycle.
7. Posting process – 5 days.
8. Request to Hire – union 1 week unless HRD approval is required for salary.
9. Request to Hire – management 6 weeks, due to HRD approval, background checks, etc.
10. Reclassification of Union positions – HR Analyst schedules meeting within 1 week of receipt of
request. Entire process for Union and management positions – 1 month or more.
11. HR liaisons are notified of compliance issues within 2 days after administrative report is run from
system.
12. Training is scheduled on an as-needed basis, subject to funding. Annual training for HRD mandated
topics, including Diversity Training, Ethics Training Sexual Harassment, Workplace Violence, and
Domestic Violence is coordinated annually with the EOHED Secretariat.
13. HR liaisons are notified of compliance issues within 2 days after administrative report is run from
system. HR Director notifies HR liaisons by e-mail of phases due and deadlines.
12. Trainings and updates are provided as needed throughout the year.
13. Personnel file documents are printed weekly for the file.