This document provides an overview of a contract management certification training held by the Agency for Workforce Innovation in February 2010. The two-day training schedule covers topics such as procurement methods, contract tracking systems, roles of various offices, how to write contracts, and contract monitoring. It also includes presentations on organizational structure, guiding principles, legal authority, and the role of information technology in procurement and contract management. The document aims to educate participants on best practices for contract administration.
Running head CONTRACT CLOSEOUT 1CONTRACT CLOSEOUT 16.docxjoellemurphey
Running head: CONTRACT CLOSEOUT 1
CONTRACT CLOSEOUT 16
Contract Closeout
Deirdre Martin
Colorado Technical University
September 8, 2015
Procurement Terms and Statement of Work
Deirdre Martin
Colorado Technical University
Professor Johnny Maddox
SCM320-1503B-01
Individual Project 3
Definition of procurement terms
Some of the most widely used procurement terms include: make or buy decisions; terms and conditions, sourcing plans; as well as requests for information, proposal and quotation. Make or buy decisions can be described as the challenges met by a firm when determining whether a product or service need to be purchased from external sources or produced internally. Some of the elements of make or buy decisions include: financial aspects, technological elements, marketing factors, purchasing elements, and strategic aspects (Martland, 2005). The financial elements can be in terms of fixed or variable costs.
A sourcing plan is a well-documented and systematic document that provides guidance to individuals responsible for implementing acquisition policies(Sollish & Semanik, 2010a).A request for proposal is an expression of need or solicitation for services and products. Request for information is a tool utilized in sourcing to assist in determining a supplier’s capacity and financial strength. Furthermore, a request for quotation is a demand for price and delivery where other terms have already been specified. Finally, terms and conditions in procurement refer to the general and specific policies, provisions, guidelines and rules that guide the procurement process (Sollish & Semanik, 2007b).
Statement of Work
A procurement statement of work, such as the one stated below, provides a description of the requirements for products or services. In most cases, statements of work are written down in comprehensive and prescriptive form, detailing not just what has to be done, but also the strategies to be employed. In addition, they indicate how regular the products or services required need to be provided. (Sollish & Semanik, 2007b) The statements may be simply provided in terms of the anticipated products or services. The table below shows a statement of work with defining quality and delivery requirements, alongside the expected schedule and costs.
Project Name:
Project Number:
Prepared by:
Date:
ERP System Project, Webb Communication Company
3454784
John Stevens
25-08-2015
Customer:
Business Unit/ Function Name:
Contact Name:
Project Type (Standard/Complex):
Webb Communication Company
IT Department
Systems Administrator, Telephone Number: 758-378-9272
Complex project involving securing of the company’s information resources
Introduction
Webb Communication and IT Company requires its information systems to be protected from unauthorized access.
Procurement Statement of Work
Procurement Summary
Webb Communications Company requires its information resources to be secured from access, use, and modification by unauthorized pa ...
FWD50 Agile/ Lean Workshop Slides - November 1
Ottawa Ontario, Canada. Authors/Presenters: Dan MurphyGlenn Waters, Ellen Grove, Craig Szelestowski - Thanks Team
The document provides an overview of key concepts from ITIL including the ITIL service lifecycle, utilities and warranties, capabilities and resources, objectives and metrics, service level agreements, the service portfolio, benchmarks, governance models, and financial management processes. It also includes sample questions related to ITIL frameworks, processes, roles, and qualifications.
The document provides a summary of a candidate's work experience and skills spanning over 30 years working in finance, IT, management and administrative roles in both the UK and US public and private sectors. It highlights experience in areas such as IT asset management, budgeting, procurement, contract management, software licensing, project management and training.
Procurement - A Reflection on 2012-2013 and the Way ForwardKBIZEAU
Shared Services Canada provided a summary of its 2012-13 procurement activities and plans for the future. Key points include:
- SSC absorbed over 5,000 contracts and $1.05B in spending from 43 partner departments. Telecom services made up 51% of spending.
- SSC is working on a 3-year procurement plan and improving governance, policy, and strategic engagement.
- SSC established advisory committees to provide input on procurement best practices and opportunities for Canadian ICT firms.
- Next steps include finalizing the procurement plan, acquiring a new procurement system, and developing procurement strategies with business lines.
The document provides a recommendation to purchase a portfolio/project management tool. It summarizes the evaluation of two vendors conducted by a team. Vendor 3 was recommended due to offering a more robust tool that could meet current and future needs, though Vendor 2 offered a less expensive option. The presentation seeks approval from IT Governance to purchase the tool from Vendor 3 and implement it starting with a small pilot group. Key risks like change acceptance and data synchronization between the new and existing tools are also addressed.
Procurement Of Software And Information Technology ServicesPeister
This document discusses key considerations for procuring cloud computing services and drafting cloud services agreements. It identifies legal and business risks, such as data security, privacy, jurisdiction, and termination issues. It provides recommendations for addressing these risks, including conducting due diligence of the vendor, negotiating terms to retain data ownership and ensure access in case of disputes, and establishing governance processes to manage the relationship. The appendices describe relevant stakeholders, regulatory issues, and aspects of assessing security based on NIST standards.
Running head CONTRACT CLOSEOUT 1CONTRACT CLOSEOUT 16.docxjoellemurphey
Running head: CONTRACT CLOSEOUT 1
CONTRACT CLOSEOUT 16
Contract Closeout
Deirdre Martin
Colorado Technical University
September 8, 2015
Procurement Terms and Statement of Work
Deirdre Martin
Colorado Technical University
Professor Johnny Maddox
SCM320-1503B-01
Individual Project 3
Definition of procurement terms
Some of the most widely used procurement terms include: make or buy decisions; terms and conditions, sourcing plans; as well as requests for information, proposal and quotation. Make or buy decisions can be described as the challenges met by a firm when determining whether a product or service need to be purchased from external sources or produced internally. Some of the elements of make or buy decisions include: financial aspects, technological elements, marketing factors, purchasing elements, and strategic aspects (Martland, 2005). The financial elements can be in terms of fixed or variable costs.
A sourcing plan is a well-documented and systematic document that provides guidance to individuals responsible for implementing acquisition policies(Sollish & Semanik, 2010a).A request for proposal is an expression of need or solicitation for services and products. Request for information is a tool utilized in sourcing to assist in determining a supplier’s capacity and financial strength. Furthermore, a request for quotation is a demand for price and delivery where other terms have already been specified. Finally, terms and conditions in procurement refer to the general and specific policies, provisions, guidelines and rules that guide the procurement process (Sollish & Semanik, 2007b).
Statement of Work
A procurement statement of work, such as the one stated below, provides a description of the requirements for products or services. In most cases, statements of work are written down in comprehensive and prescriptive form, detailing not just what has to be done, but also the strategies to be employed. In addition, they indicate how regular the products or services required need to be provided. (Sollish & Semanik, 2007b) The statements may be simply provided in terms of the anticipated products or services. The table below shows a statement of work with defining quality and delivery requirements, alongside the expected schedule and costs.
Project Name:
Project Number:
Prepared by:
Date:
ERP System Project, Webb Communication Company
3454784
John Stevens
25-08-2015
Customer:
Business Unit/ Function Name:
Contact Name:
Project Type (Standard/Complex):
Webb Communication Company
IT Department
Systems Administrator, Telephone Number: 758-378-9272
Complex project involving securing of the company’s information resources
Introduction
Webb Communication and IT Company requires its information systems to be protected from unauthorized access.
Procurement Statement of Work
Procurement Summary
Webb Communications Company requires its information resources to be secured from access, use, and modification by unauthorized pa ...
FWD50 Agile/ Lean Workshop Slides - November 1
Ottawa Ontario, Canada. Authors/Presenters: Dan MurphyGlenn Waters, Ellen Grove, Craig Szelestowski - Thanks Team
The document provides an overview of key concepts from ITIL including the ITIL service lifecycle, utilities and warranties, capabilities and resources, objectives and metrics, service level agreements, the service portfolio, benchmarks, governance models, and financial management processes. It also includes sample questions related to ITIL frameworks, processes, roles, and qualifications.
The document provides a summary of a candidate's work experience and skills spanning over 30 years working in finance, IT, management and administrative roles in both the UK and US public and private sectors. It highlights experience in areas such as IT asset management, budgeting, procurement, contract management, software licensing, project management and training.
Procurement - A Reflection on 2012-2013 and the Way ForwardKBIZEAU
Shared Services Canada provided a summary of its 2012-13 procurement activities and plans for the future. Key points include:
- SSC absorbed over 5,000 contracts and $1.05B in spending from 43 partner departments. Telecom services made up 51% of spending.
- SSC is working on a 3-year procurement plan and improving governance, policy, and strategic engagement.
- SSC established advisory committees to provide input on procurement best practices and opportunities for Canadian ICT firms.
- Next steps include finalizing the procurement plan, acquiring a new procurement system, and developing procurement strategies with business lines.
The document provides a recommendation to purchase a portfolio/project management tool. It summarizes the evaluation of two vendors conducted by a team. Vendor 3 was recommended due to offering a more robust tool that could meet current and future needs, though Vendor 2 offered a less expensive option. The presentation seeks approval from IT Governance to purchase the tool from Vendor 3 and implement it starting with a small pilot group. Key risks like change acceptance and data synchronization between the new and existing tools are also addressed.
Procurement Of Software And Information Technology ServicesPeister
This document discusses key considerations for procuring cloud computing services and drafting cloud services agreements. It identifies legal and business risks, such as data security, privacy, jurisdiction, and termination issues. It provides recommendations for addressing these risks, including conducting due diligence of the vendor, negotiating terms to retain data ownership and ensure access in case of disputes, and establishing governance processes to manage the relationship. The appendices describe relevant stakeholders, regulatory issues, and aspects of assessing security based on NIST standards.
The document discusses using data analytics to refine legal strategy and reduce spending. It provides examples of analytics on legal service types, law firm expenditures, and average billing rates. The analytics identified opportunities to reduce spending through bundled fixed fees, enforcing staffing guidelines, and recommending alternative service providers or automation. The presentation encourages developing short, medium, and long-term actions for clients to cut outside counsel costs based on analyzing lawyer and staff work.
The audit will review UNCCG's enterprise data warehouse platform over several phases:
1) A mobilization phase to develop audit plans and interview lists.
2) An execution phase to conduct interviews, review documents, and test controls.
3) A reporting phase to draft and finalize audit reports with findings and recommendations.
The audit will focus on data warehouse management, operations, and business integration, and assess risks relating to regulatory compliance, privacy, vendor access, and system availability. Regular communication with management will be maintained throughout the engagement.
Learn how companies across industry verticals are leveraging ECLM to improve the creation, administration and assessment of contracts.
Our industry and ECLM solution experts cover the keys to addressing critical contracting issues such as:
Minimizing potential legal/resource bottlenecks
Increasing contract visibility of upcoming payment milestones for finance
Minimizing change controls and amendments by incorporating typical scope revisions into standard templates
We look at real customer implementation stories and hold an interactive Q&A to show how your organization can achieve a considerable ROI on an ECLM solution.
The document summarizes recommendations from a lean process improvement project conducted by Deloitte Consulting LLP for the City of Detroit. Six key themes for improvement were identified across city departments: customer education, data collection and performance tracking, technology use, process transparency, knowledge sharing, and training. Recommendations focused on three areas: streamlining IT services, centralizing purchasing functions, and standardizing maintenance across city vehicles and facilities. Implementing the recommendations could reduce costs, improve response times, increase transparency and data use, and boost productivity across departments.
The Virginia National Guard Cooperative Agreement Process is how the State Department of Military Affairs seeks reimbursement from the Federal government for services rendered. This process was functioning in such a poor state that senior leaders in Virginia were considering furloughing employees due to tied up funds. At the end of this process we were able to take the reimbursement time from an average of 49 days to 5 days, improved their delinquency rate and standardized the process across all functions. This also resulted in a cost avoidance of 50% on behalf of the Federal Government while improving transparency for all parties involved.
Service Transition (ST) ensures new or changed IT services can be effectively operated by validating service designs against requirements. ST manages changes, risks, quality assurance, and implements service designs so operations can manage services and infrastructure in a controlled manner. Key ST processes include transition planning and support, change management, service asset and configuration management, release and deployment, validation and testing, and knowledge management. Change management aims to minimize incidents from unplanned changes by using standardized change procedures, CAB approval, and post-implementation reviews. ST faces challenges in driving cultural shifts toward centralized change control.
The document discusses the Harari Peoples Regional State Public Procurement and Property Disposal Service office and their need for an electronic document management system. Some key points:
1) The office procures goods and services for public bodies in Harari and disposes of unused public properties. They need software to better manage information, records, and the procurement and disposal processes.
2) They are seeking a firm to design, develop, test, and deploy electronic document management, database management, and procurement/disposal process management systems.
3) The systems would help the office store, organize, analyze, and report information to make better decisions and ensure transparency in procurement and disposal.
Thomas Kelley has over 20 years of experience as a senior program/project manager in telecom, IT, regulatory, and financial services. He has extensive experience managing multimillion dollar projects from initial analysis through implementation. Key skills include customer service, billing systems, problem solving, communication, and project management methodologies. Recent work at Verizon included leading teams to redesign call center workflows, implement self-service platforms, and consolidate billing applications.
The document discusses how companies have traditionally developed their own separate communication infrastructures, leading to duplication of costs. It notes that open standards like TCP/IP allow for better interoperability between technologies and less vendor lock-in. Companies can now share common infrastructure and interfaces, reducing complexity for partners and customers.
The document discusses trends in IT infrastructure management, including:
1) Business process management services, hosted services, application management services, and customer service management are growing trends that allow organizations to outsource non-core functions.
2) Governance of IT infrastructure management is also a key trend, as organizations must carefully evaluate outsourcing options to meet business objectives while minimizing risks.
3) Business process management focuses on evaluating, negotiating, implementing and managing sourcing transactions, and involves competitively sourcing mature operational areas.
Multi Arise BPM implements several solutions to efficiently manage contracts for a high-tech company's supply chain process. They set up dedicated teams in Costa Rica, Dublin, and Manila/Sydney to review, draft, and negotiate different types of commercial and legal contracts. The teams work to standardize templates, define quality processes, and reduce risks in contracts. This helps improve throughput and control for the client's high-end procurement contracts globally.
Chad Ostreicher Describe a 10 Important point Of IT Consulting.
There Are Main Point.
1: Some people are never happy
2: Not all IT pros make good consultants
3: Some clients never intend to pay
4: Vendors abandon you
5: Clients expect a know-it-all
6: And one more thing...
7: Immediate service, but 60-day payment terms
8: Clients only remember what didn't work
9: You're almost always working
10: Follow-up is not optional
The document discusses outsourcing in libraries. It defines outsourcing as buying in parts of a service from external contractors, while externalization means buying a complete service externally. Libraries outsource to provide more services than their budgets allow, take advantage of economies of scale, avoid maintaining in-house skills, and introduce innovation. The document lists many common library services that are outsourced and provides a case study of a library system considering outsourcing. It emphasizes the importance of clearly defining requirements, standards, and levels of service when outsourcing.
Procurement Of The Procurement Management EssayCheryl Brown
The document discusses best practices in supply chain management (SCM), procurement, and procurement systems. It examines how SCM focuses on integrating suppliers, production, and distribution in order to serve customer needs efficiently. Effective procurement involves developing close relationships with key suppliers, conducting supplier evaluations, and participating in product development. Procurement systems aim to increase efficiency, visibility, and control over spending. The report evaluates how adopting such practices could improve an organization's procurement strategies and performance.
Outsourcing and Procurement: The Hot Points and PitfallsJon Hansen
eWorld Purchasing & Supply Conference
Day 1 - September 28th, 2010
10:20 to 10:50 AM Outsourcing and Procurement: The Hot Points and Pitfalls
Overview:
On paper, outsourcing holds significant potential for delivering much-needed efficiency gains and cost savings. But it can also present a legal minefield for procurement departments and getting the contract right from the outset is one of the most significant factors for realising these benefits. This information-packed briefing explains the key considerations for a successful outsourcing contract, including: defining project scope, employment issues & TUPE, intellectual property rights, agreeing service levels, benchmarking, reporting & audit rights, liability, data protection, confidentiality & Freedom of Information, dispute resolution, duration, termination and exit management.
Speaker:
Debbie Venn, Associate at asb law LLP
CII IT SOLUTIONS, AN EFFICIENT TOOL TO HELPvisioninfo9
IT solutions provide efficient tools to help manage business organizations. They allow for internal communication and delegation of responsibilities without needing to visit different locations. Data retrieval and access allows for quick decision making. When internal communication is strong and data is accessible, it facilitates effective external communication to resolve issues with customers. IT tools such as CAD, CAM, and CAE software simplify processes like drawing approval, visualization of parts, and simulation to eliminate trial and error. This improves efficiency and helps build confidence with customers.
Smart Process Design: Continuous Improvement to Leverage the Right Technology...Daniel W. Linna Jr.
Corporate Legal Operations Institute, May 2017
A technology-first approach can distract us from asking the right questions and solving the right problems. We must start with processes. By designing smart processes, we can increase the efficiency and quality of legal service delivery, generate actionable data, and pave the way for future continuous improvement. We will:
• Introduce smart processes for gathering data and improving efficiency, quality, and substantive outcomes;
• Use maps as knowledge production and management tools that can also be used for communication and training; and
• Discuss how cross-functional alignment and communication between the legal ops team, in-house counsel, and the other departments of the business can be furthered with this approach.
The document outlines the procurement process for an Illinois park district. It includes phases for project identification, developing scope and bid documents, issuing a solicitation, establishing an evaluation committee, and contract negotiation. Various solicitation formats like competitive bids, requests for qualifications and proposals are described. Requirements for advertising bids and considerations for evaluating submissions are also provided.
Boeing Australia Limited (BAL) is considering implementing an e-procurement system to streamline its procurement processes. Currently, BAL uses manual and paper-based processes that are inefficient. An e-procurement system could integrate with existing legacy systems and reduce redundancies. However, BAL must consider the high costs of sophisticated systems and ensure any new system meets the company's needs. The summary evaluates options for upgrading BAL's procurement while maintaining performance and customer relationships.
Procurement involves acquiring goods, services, or works from an external source in a way that meets needs at the best possible cost. The procurement life cycle includes identifying needs, finding suppliers, communicating with them, negotiating contracts, managing supplier relationships, and handling logistics. E-procurement automates this process electronically to reduce costs, increase transparency and productivity, eliminate paperwork, and speed up transactions. While e-procurement provides benefits, risks include over-investing in tools that don't deliver value or that users reject, as well as suppliers who don't cooperate.
Discover the latest insights on Data Driven Maintenance with our comprehensive webinar presentation. Learn about traditional maintenance challenges, the right approach to utilizing data, and the benefits of adopting a Data Driven Maintenance strategy. Explore real-world examples, industry best practices, and innovative solutions like FMECA and the D3M model. This presentation, led by expert Jules Oudmans, is essential for asset owners looking to optimize their maintenance processes and leverage digital technologies for improved efficiency and performance. Download now to stay ahead in the evolving maintenance landscape.
The document discusses using data analytics to refine legal strategy and reduce spending. It provides examples of analytics on legal service types, law firm expenditures, and average billing rates. The analytics identified opportunities to reduce spending through bundled fixed fees, enforcing staffing guidelines, and recommending alternative service providers or automation. The presentation encourages developing short, medium, and long-term actions for clients to cut outside counsel costs based on analyzing lawyer and staff work.
The audit will review UNCCG's enterprise data warehouse platform over several phases:
1) A mobilization phase to develop audit plans and interview lists.
2) An execution phase to conduct interviews, review documents, and test controls.
3) A reporting phase to draft and finalize audit reports with findings and recommendations.
The audit will focus on data warehouse management, operations, and business integration, and assess risks relating to regulatory compliance, privacy, vendor access, and system availability. Regular communication with management will be maintained throughout the engagement.
Learn how companies across industry verticals are leveraging ECLM to improve the creation, administration and assessment of contracts.
Our industry and ECLM solution experts cover the keys to addressing critical contracting issues such as:
Minimizing potential legal/resource bottlenecks
Increasing contract visibility of upcoming payment milestones for finance
Minimizing change controls and amendments by incorporating typical scope revisions into standard templates
We look at real customer implementation stories and hold an interactive Q&A to show how your organization can achieve a considerable ROI on an ECLM solution.
The document summarizes recommendations from a lean process improvement project conducted by Deloitte Consulting LLP for the City of Detroit. Six key themes for improvement were identified across city departments: customer education, data collection and performance tracking, technology use, process transparency, knowledge sharing, and training. Recommendations focused on three areas: streamlining IT services, centralizing purchasing functions, and standardizing maintenance across city vehicles and facilities. Implementing the recommendations could reduce costs, improve response times, increase transparency and data use, and boost productivity across departments.
The Virginia National Guard Cooperative Agreement Process is how the State Department of Military Affairs seeks reimbursement from the Federal government for services rendered. This process was functioning in such a poor state that senior leaders in Virginia were considering furloughing employees due to tied up funds. At the end of this process we were able to take the reimbursement time from an average of 49 days to 5 days, improved their delinquency rate and standardized the process across all functions. This also resulted in a cost avoidance of 50% on behalf of the Federal Government while improving transparency for all parties involved.
Service Transition (ST) ensures new or changed IT services can be effectively operated by validating service designs against requirements. ST manages changes, risks, quality assurance, and implements service designs so operations can manage services and infrastructure in a controlled manner. Key ST processes include transition planning and support, change management, service asset and configuration management, release and deployment, validation and testing, and knowledge management. Change management aims to minimize incidents from unplanned changes by using standardized change procedures, CAB approval, and post-implementation reviews. ST faces challenges in driving cultural shifts toward centralized change control.
The document discusses the Harari Peoples Regional State Public Procurement and Property Disposal Service office and their need for an electronic document management system. Some key points:
1) The office procures goods and services for public bodies in Harari and disposes of unused public properties. They need software to better manage information, records, and the procurement and disposal processes.
2) They are seeking a firm to design, develop, test, and deploy electronic document management, database management, and procurement/disposal process management systems.
3) The systems would help the office store, organize, analyze, and report information to make better decisions and ensure transparency in procurement and disposal.
Thomas Kelley has over 20 years of experience as a senior program/project manager in telecom, IT, regulatory, and financial services. He has extensive experience managing multimillion dollar projects from initial analysis through implementation. Key skills include customer service, billing systems, problem solving, communication, and project management methodologies. Recent work at Verizon included leading teams to redesign call center workflows, implement self-service platforms, and consolidate billing applications.
The document discusses how companies have traditionally developed their own separate communication infrastructures, leading to duplication of costs. It notes that open standards like TCP/IP allow for better interoperability between technologies and less vendor lock-in. Companies can now share common infrastructure and interfaces, reducing complexity for partners and customers.
The document discusses trends in IT infrastructure management, including:
1) Business process management services, hosted services, application management services, and customer service management are growing trends that allow organizations to outsource non-core functions.
2) Governance of IT infrastructure management is also a key trend, as organizations must carefully evaluate outsourcing options to meet business objectives while minimizing risks.
3) Business process management focuses on evaluating, negotiating, implementing and managing sourcing transactions, and involves competitively sourcing mature operational areas.
Multi Arise BPM implements several solutions to efficiently manage contracts for a high-tech company's supply chain process. They set up dedicated teams in Costa Rica, Dublin, and Manila/Sydney to review, draft, and negotiate different types of commercial and legal contracts. The teams work to standardize templates, define quality processes, and reduce risks in contracts. This helps improve throughput and control for the client's high-end procurement contracts globally.
Chad Ostreicher Describe a 10 Important point Of IT Consulting.
There Are Main Point.
1: Some people are never happy
2: Not all IT pros make good consultants
3: Some clients never intend to pay
4: Vendors abandon you
5: Clients expect a know-it-all
6: And one more thing...
7: Immediate service, but 60-day payment terms
8: Clients only remember what didn't work
9: You're almost always working
10: Follow-up is not optional
The document discusses outsourcing in libraries. It defines outsourcing as buying in parts of a service from external contractors, while externalization means buying a complete service externally. Libraries outsource to provide more services than their budgets allow, take advantage of economies of scale, avoid maintaining in-house skills, and introduce innovation. The document lists many common library services that are outsourced and provides a case study of a library system considering outsourcing. It emphasizes the importance of clearly defining requirements, standards, and levels of service when outsourcing.
Procurement Of The Procurement Management EssayCheryl Brown
The document discusses best practices in supply chain management (SCM), procurement, and procurement systems. It examines how SCM focuses on integrating suppliers, production, and distribution in order to serve customer needs efficiently. Effective procurement involves developing close relationships with key suppliers, conducting supplier evaluations, and participating in product development. Procurement systems aim to increase efficiency, visibility, and control over spending. The report evaluates how adopting such practices could improve an organization's procurement strategies and performance.
Outsourcing and Procurement: The Hot Points and PitfallsJon Hansen
eWorld Purchasing & Supply Conference
Day 1 - September 28th, 2010
10:20 to 10:50 AM Outsourcing and Procurement: The Hot Points and Pitfalls
Overview:
On paper, outsourcing holds significant potential for delivering much-needed efficiency gains and cost savings. But it can also present a legal minefield for procurement departments and getting the contract right from the outset is one of the most significant factors for realising these benefits. This information-packed briefing explains the key considerations for a successful outsourcing contract, including: defining project scope, employment issues & TUPE, intellectual property rights, agreeing service levels, benchmarking, reporting & audit rights, liability, data protection, confidentiality & Freedom of Information, dispute resolution, duration, termination and exit management.
Speaker:
Debbie Venn, Associate at asb law LLP
CII IT SOLUTIONS, AN EFFICIENT TOOL TO HELPvisioninfo9
IT solutions provide efficient tools to help manage business organizations. They allow for internal communication and delegation of responsibilities without needing to visit different locations. Data retrieval and access allows for quick decision making. When internal communication is strong and data is accessible, it facilitates effective external communication to resolve issues with customers. IT tools such as CAD, CAM, and CAE software simplify processes like drawing approval, visualization of parts, and simulation to eliminate trial and error. This improves efficiency and helps build confidence with customers.
Smart Process Design: Continuous Improvement to Leverage the Right Technology...Daniel W. Linna Jr.
Corporate Legal Operations Institute, May 2017
A technology-first approach can distract us from asking the right questions and solving the right problems. We must start with processes. By designing smart processes, we can increase the efficiency and quality of legal service delivery, generate actionable data, and pave the way for future continuous improvement. We will:
• Introduce smart processes for gathering data and improving efficiency, quality, and substantive outcomes;
• Use maps as knowledge production and management tools that can also be used for communication and training; and
• Discuss how cross-functional alignment and communication between the legal ops team, in-house counsel, and the other departments of the business can be furthered with this approach.
The document outlines the procurement process for an Illinois park district. It includes phases for project identification, developing scope and bid documents, issuing a solicitation, establishing an evaluation committee, and contract negotiation. Various solicitation formats like competitive bids, requests for qualifications and proposals are described. Requirements for advertising bids and considerations for evaluating submissions are also provided.
Boeing Australia Limited (BAL) is considering implementing an e-procurement system to streamline its procurement processes. Currently, BAL uses manual and paper-based processes that are inefficient. An e-procurement system could integrate with existing legacy systems and reduce redundancies. However, BAL must consider the high costs of sophisticated systems and ensure any new system meets the company's needs. The summary evaluates options for upgrading BAL's procurement while maintaining performance and customer relationships.
Procurement involves acquiring goods, services, or works from an external source in a way that meets needs at the best possible cost. The procurement life cycle includes identifying needs, finding suppliers, communicating with them, negotiating contracts, managing supplier relationships, and handling logistics. E-procurement automates this process electronically to reduce costs, increase transparency and productivity, eliminate paperwork, and speed up transactions. While e-procurement provides benefits, risks include over-investing in tools that don't deliver value or that users reject, as well as suppliers who don't cooperate.
Discover the latest insights on Data Driven Maintenance with our comprehensive webinar presentation. Learn about traditional maintenance challenges, the right approach to utilizing data, and the benefits of adopting a Data Driven Maintenance strategy. Explore real-world examples, industry best practices, and innovative solutions like FMECA and the D3M model. This presentation, led by expert Jules Oudmans, is essential for asset owners looking to optimize their maintenance processes and leverage digital technologies for improved efficiency and performance. Download now to stay ahead in the evolving maintenance landscape.
Software Engineering and Project Management - Introduction, Modeling Concepts...Prakhyath Rai
Introduction, Modeling Concepts and Class Modeling: What is Object orientation? What is OO development? OO Themes; Evidence for usefulness of OO development; OO modeling history. Modeling
as Design technique: Modeling, abstraction, The Three models. Class Modeling: Object and Class Concept, Link and associations concepts, Generalization and Inheritance, A sample class model, Navigation of class models, and UML diagrams
Building the Analysis Models: Requirement Analysis, Analysis Model Approaches, Data modeling Concepts, Object Oriented Analysis, Scenario-Based Modeling, Flow-Oriented Modeling, class Based Modeling, Creating a Behavioral Model.
Comparative analysis between traditional aquaponics and reconstructed aquapon...bijceesjournal
The aquaponic system of planting is a method that does not require soil usage. It is a method that only needs water, fish, lava rocks (a substitute for soil), and plants. Aquaponic systems are sustainable and environmentally friendly. Its use not only helps to plant in small spaces but also helps reduce artificial chemical use and minimizes excess water use, as aquaponics consumes 90% less water than soil-based gardening. The study applied a descriptive and experimental design to assess and compare conventional and reconstructed aquaponic methods for reproducing tomatoes. The researchers created an observation checklist to determine the significant factors of the study. The study aims to determine the significant difference between traditional aquaponics and reconstructed aquaponics systems propagating tomatoes in terms of height, weight, girth, and number of fruits. The reconstructed aquaponics system’s higher growth yield results in a much more nourished crop than the traditional aquaponics system. It is superior in its number of fruits, height, weight, and girth measurement. Moreover, the reconstructed aquaponics system is proven to eliminate all the hindrances present in the traditional aquaponics system, which are overcrowding of fish, algae growth, pest problems, contaminated water, and dead fish.
International Conference on NLP, Artificial Intelligence, Machine Learning an...gerogepatton
International Conference on NLP, Artificial Intelligence, Machine Learning and Applications (NLAIM 2024) offers a premier global platform for exchanging insights and findings in the theory, methodology, and applications of NLP, Artificial Intelligence, Machine Learning, and their applications. The conference seeks substantial contributions across all key domains of NLP, Artificial Intelligence, Machine Learning, and their practical applications, aiming to foster both theoretical advancements and real-world implementations. With a focus on facilitating collaboration between researchers and practitioners from academia and industry, the conference serves as a nexus for sharing the latest developments in the field.
Redefining brain tumor segmentation: a cutting-edge convolutional neural netw...IJECEIAES
Medical image analysis has witnessed significant advancements with deep learning techniques. In the domain of brain tumor segmentation, the ability to
precisely delineate tumor boundaries from magnetic resonance imaging (MRI)
scans holds profound implications for diagnosis. This study presents an ensemble convolutional neural network (CNN) with transfer learning, integrating
the state-of-the-art Deeplabv3+ architecture with the ResNet18 backbone. The
model is rigorously trained and evaluated, exhibiting remarkable performance
metrics, including an impressive global accuracy of 99.286%, a high-class accuracy of 82.191%, a mean intersection over union (IoU) of 79.900%, a weighted
IoU of 98.620%, and a Boundary F1 (BF) score of 83.303%. Notably, a detailed comparative analysis with existing methods showcases the superiority of
our proposed model. These findings underscore the model’s competence in precise brain tumor localization, underscoring its potential to revolutionize medical
image analysis and enhance healthcare outcomes. This research paves the way
for future exploration and optimization of advanced CNN models in medical
imaging, emphasizing addressing false positives and resource efficiency.
Embedded machine learning-based road conditions and driving behavior monitoringIJECEIAES
Car accident rates have increased in recent years, resulting in losses in human lives, properties, and other financial costs. An embedded machine learning-based system is developed to address this critical issue. The system can monitor road conditions, detect driving patterns, and identify aggressive driving behaviors. The system is based on neural networks trained on a comprehensive dataset of driving events, driving styles, and road conditions. The system effectively detects potential risks and helps mitigate the frequency and impact of accidents. The primary goal is to ensure the safety of drivers and vehicles. Collecting data involved gathering information on three key road events: normal street and normal drive, speed bumps, circular yellow speed bumps, and three aggressive driving actions: sudden start, sudden stop, and sudden entry. The gathered data is processed and analyzed using a machine learning system designed for limited power and memory devices. The developed system resulted in 91.9% accuracy, 93.6% precision, and 92% recall. The achieved inference time on an Arduino Nano 33 BLE Sense with a 32-bit CPU running at 64 MHz is 34 ms and requires 2.6 kB peak RAM and 139.9 kB program flash memory, making it suitable for resource-constrained embedded systems.
2. 2
Welcome & Introductions
Name, Program Area
I am in this class because ….
The best job I ever had was ….
The worst project I ever worked on was ….
3. 3
TRAINING SCHEDULE
Day 1
– Procurement and Contract Tracking System (PACTS)
– Procurement Methods
– Role of the Information Technology Office
– Role of Financial Services
– Doing Business with Minority Business Enterprises
– Role of the General Counsel’s Office
– How to Write Contracts
4. 4
TRAINING SCHEDULE CONTINUED…….
Day 1 (continued)
– Contract Review Process
– Developing and Processing Contracts, Amendments
Renewals and Extensions
– Managing Contract Files
– Programmatic & Contract Monitoring
Day 2
– “Contract Management in Florida” presented by Walter
Sachs, DCF Staff Director, Contract Administration Perform
Examination Review
5. 5
Organizational Chart
Cynthia R. Lorenzo
Director
Kevin Thompson, Director
of
Agency Support Services
Robert Monroe
General Services Officer
Laura Jennings
General Services Purchasing
Manager
Eleanor “Fran” Shewan
Purchasing Supervisor
Sonja Stokes
Purchasing Specialist
Christina Harrell
Purchasing Analyst – Contract
Administration /CMBE
Coordinator
Bridgett Jackson
General Services
Specialist
6. 6
Guiding Principles and Responsibilities
Legality and Ethics
Effective Services
Efficiency
Economy
Fairness & Open Competition
Diversity
7. 7
Authority
Authority
– Chapter 287, Florida Statutes
– Chapter 60A-1, Florida Administrative Code
Other Related References
– AWI Purchasing Policy, 4.02 – “Purchasing and
Contracting Procedures Manual”
– DMS State Purchasing Memorandums
– Department of Financial Services
» Reference Guide for State Expenditures
» CFO Memorandums
» Agency Addressed Memorandums
– Federal Regulations
8. 8
s. 287.001, F.S.- Legislative Intent
Ensure the following:
– Fair and open competition
– Reduce the appearance and opportunity for favoritism
– Inspire Public Confidence
– Awarded Equitably and Economically
– Effective Monitoring Mechanisms
– Uniform procedures are followed
– Detailed Justification of the Agency Decisions
– Ethical Behavior
10. 10
PACTS
WHY WAS IT CREATED:
– The PACTS database was created to track:
» the process of administering a contract from the
initial stages of identifying the program area need
» through the procurement of a provider to deliver
those commodities or contractual services,
» track the routing of contract documents through the
agency review process, and
» to document the contract history (start/end dates,
increases/decreased, amendments, renewals, and
extensions)
11. 11
Purpose of PACTS
To assist the Agency in complying with applicable
state and federal laws, rules and regulations.
To provide a resource to the Agency for
proactively manage and track the history of
Agency two-party contracts.
Program Areas have view access for tracking
expiration dates
http://intra.awi.state.fl.us/pacts/
13. 13
Types of Procurement
Three Main Types
– Small Purchases
» Discretionary
< $2,500 – Requires only one (1) quote
» Informal
$2,500 - $14,999.99 – Requires two (2) or more quotes
>$15,000 - $24,999.99 – Requires three (3) written quotes
– Non-Competitive
» Emergency Purchases
» DMS Authorized Agreements (STC, ACS & SPA)
» Single Source
» Exempt
» Continuing Education
» PRIDE and RESPECT
– Competitive Solicitations >$25,000
» Invitation to Bid
» Request for Proposal
» Invitation to Negotiate
14. 14
Procurement Cycle
Identified Need
Specification Development
Determine Method of Procurement
Obtain Quotes or Conduct Formal Solicitation
Agency Selection & Award
Contract Development (MFMP DO or Two-Party)
Delivery of Services
Invoice and Payment
Monitoring Contract Performance
Contract Closeout
15. 15
Internal and External
Requirements
External
– DMS
CSA Telecommunication
Single Source >$150,000
– DFS
– Council of Efficient
Government
– TRW
Internal
– Cost Price Analysis
– Vendor vs Subrecipient
– Conflict of Interest
– IRA
– OCO
– Facility Services
– Routing Process
16. 16
Invitation to Bid – ITB
Commodity or service is easily identified;
Bidders offer pricing based on set requirements
(i.e., manufacturer, model, size, color, etc.);
Bidder qualifications and commodity/service will
be compared to the requirements of the ITB, but
not to each other;
Award will be made to the responsive and
responsible bidder offering the lowest price.
17. 17
Request for Proposal - RFP
Written determination why ITB is not practicable,
to be approved.
Defined scope of work with multiple solutions.
The vendor qualifications, experience and quality
of service are more important than price.
Proposals will be compared to each other.
Award to Respondent that receives the highest
total points for technical and cost.
18. 18
Invitation to Negotiate - ITN
■ Scope of Work cannot be completely and accurately defined.
Two Step process
1. Evaluation Scoring/Ranking Highest to Lowest
a. Shortlisted Vendors Move Forward
2. Negotiation Phase
a. Negotiations are conducted to level the
playing field
b. Responses are compared to each other
c. Qualifications and quality of service may be
considered more important than price
d. Vendor is selected on “Best Value”
20. 20
Objectives
Discussion of Five Topics:
– Definition of Information Technology
– Information Resource Authorizations (IRA)
– Security Considerations
– Early Involvement
– Contract Review Process
21. 21
Information Technology Definition
s. 282.0041(16), F.S., means “Information
Technology” equipment, hardware, software,
firmware, programs, systems, networks,
infrastructure, media, and related material used to
automatically, electronically, and wirelessly
collect, receive, analyze, evaluate, process,
classify, manipulate, manage, assimilate, control,
communicate, exchange, convert, converge,
interface, switch, or disseminate information of
any kind or form.
23. 23
Information Resource Authorization
(IRA)
What is an IRA?
An IRA is a request for acquisition of information
technology or services, including those procured
through a contract.
Why an IRA?
It is the responsibility of the Information
Technology Unit to ensure that AWI is procuring
information technology (hardware, software,
services, etc.) that can integrate and interconnect
with our existing IT systems and services and is
consistent with AWI policies and Florida Statutes.
24. 24
Information Resource Authorization
(IRA)
continued….
A completed IRA Form must accompany all
IT related acquisitions.
It is required via the Agency’s Information
Technology Purchasing Policy 5.01.
(Revision Pending)
http://www.floridajobs.org/Policies/IT/itequip_%20purch_repairpolicy5.01.pdf
25. 25
Security Considerations
Information System Security Plan (ISSP) Policy 5.02
■ Know Confidentiality Rules
– Adopted 11/06
– http://intra.awi.state.fl.us/info_sec/index.htm
Security is EVERYONE’s responsibility!
Build security in from the beginning
■ Contract and bid language should contain security requirements
■ Positions of Special Trust 1.08
− Reaffirmed 2/09
− http://www.floridajobs.org/policies/Director/Policy%201.08%20Special_Trust_Positions.pdf
■ Always evaluate the risk of your decisions!
26. 26
Early Involvement
In any contract acquisition involving technology, bring IT into the
process with you…..the earlier the better!
– All new projects require a project definition form to be submitted to your
IT Application Manager
» Carlton Bassett – Workforce Services
» Patrick Greene – Administration
» Jill Conley – Office of Early Learning
» Allen Northrup – Unemployment Compensation
Things to consider
– Long term, recurring cost of IT support staff (5 to 10 Years)
– Licensing fees and renewals
– Mandatory upgrades (hardware and software)
– Total cost of ownership
– Existing Agency infrastructure
– Warranty period
27. 27
IRA Submission Process
Begin IRA
Submission
Contact
Application
Manager &
Complete Project
Definition Form
Application
Manager Walk
Through Process
with Business
Unit
Yes
IT Reviews IRA
Will purchase
consume 200 or more
hours of IT resource
time?
Enter “Service
Request”
Process IRA
End IRA
Submission
Submit IRA
No
No
No
Yes
Is existing solution
acceptable?
No
Yes
Is purchase
compatible with Agency
technology & Senate
Bill 1892?
Does AWI have an
existing solution?
Yes
Is there an alternate
solution?
No
Yes
Terminate IRA
Submission
IRA Submission
28. 28
FINANCIAL SERVICES ROLE IN
PROCUREMENT AND CONTRACT
MANAGEMENT
Alisa Roberson
Disbursements Supervisor
Agency for Workforce Innovation
29. 29
The Disbursement Unit’s Role
Set up of the Contract number in FLAIR
Entry of the Encumbrance in FLAIR so spending and budget can be tracked
and verified by the program offices
In accordance with CFO Memorandum #1 (2007-08) all contracts require DFS
review prior to the initial payment request
http://myfloridacfo.com/aadir/cm070801.pdf
Submission of contracts to the Department of Financial Services (DFS) for a
pre-audit 10 days prior to the first request for payment being made
Review of all payment requests to ensure compliance with terms of contract,
all applicable regulations and to request payment through DFS
Maintenance of the original documentation of payments made through FLAIR
(NOT those originating in MFMP)
Mail-out of warrants issued to the vendor/contractor
30. 30
What F&A Needs From Contract
Managers
For all contracts:
– A copy of the completed, signed contract when executed
– The contract number referenced on any and all
correspondence about your contract
– A signed and dated Contract Summary Form accompanying
a signed and dated invoice
http://www.fldfs.com/aadir/summary_csa.htm
– Any accounting code changes (grant, org, etc.) or any
warrant mailing/handling instructions at the time of invoice
processing
– Documentation to support the invoice
» A detail of the charges, if summarized on the invoice
» Reviewed to ensure it matches the contractual rates/fee
31. 31
What F&A Needs from Contract
Managers (Continued)
For contracts entered into MFMP:
– The contract number included on the Requisition at time of
creation
– Reference to the contract number on the Invoice
Reconciliation (IR) if it’s not “chosen” at the time of
requisition
– All documents (contract, attachments, etc.) scanned and
attached to the Requisition
– The Contract Summary Form scanned and attached on all
IRs
– Additional supporting documentation scanned and attached
to the IR, as requested by DFS, especially if not on the
original Requisition
32. 32
How Contract Managers Can Help
Themselves
Track all disbursements to ensure adequate
contract balance and accurate encumbrances
Enter MFMP Change Orders for any permanent
changes in accounting codes
Communicate with your Grant Manager and
Budget Analyst frequently
Follow-up with vendors to ensure invoices are
received timely
Review the encumbrance report provided by F&A
to ensure accuracy
33. 33
DOING BUSINESS WITH
MINORITY BUSINESS
ENTERPRISES
Christina Harrell
Contract Administrator
Agency for Workforce Innovation
34. 34
Minority Requirement
When contracting the first thought
should be “Is there a minority
business that can provide the goods
or services that I’m about to
purchase?”
35. 35
What is a Certified Minority?
Business that has been certified through the Department of
Management Services, Office of Supplier Diversity, as a certified
minority business enterprise for the purposes of doing business
with the state.
What is a Minority Business?
– Businesses owned by:
» H -African American
» I - Hispanic American
» J - Asian/Hawaiian American
» K - Native American
» M - American Woman
» W – Service Disabled Veteran
– Must be domiciled in FL to be eligible to become a Certified
Minority Business Enterprise.
36. 36
How Do I Find a Minority
Company?
Certified Minority Vendor On-Line
Directory
– https://vendorstrator.dms.myflorida.com/directory
Contact Purchasing for Assistance
Attend the AWI Purchasing & CMBE
Monthly Meeting held on the 4th
Wednesday in Room B-49
37. 37
Sample Purchasing Types Where
Minority Vendors May Be Utilized
Contracting/Subcontracting
Advertising
Printing
Office Furniture
Travel
38. 38
How Do I Report My Minority
Subcontracting Dollars?
The CMBE Subcontractor Expenditure Report is to be
utilized by the Contract Manager as a reporting
mechanism for all subcontractor dollars.
http://www.floridajobs.org/generalservices/Certified%20Minority%20Business%20Sub-
Contractor%20Expenditure%20Report%20Form.xls
This form is to be submitted to the MBE Coordinator
for the Agency (Christina Harrell) via e-mail to:
christina.harrell@flaawi.com no later than the 5th of
each month.
39. 39
How Can I Exceed Last Year’s
Minority Expenditures
Monitor Monthly Reports in FLAIR/FIS.
Ensure STC purchases are completed with a
Certified MBE Authorized Reseller, if
applicable.
Ensure your office is using a CMBE Travel
Agent vs. going direct.
Submit monthly adjustments to the CMBE
Coordinator to receive proper credit for
miscoded expenditures.
Contact Purchasing for Assistance.
40. 40
Agency Minority Reporting
90 Day Spending Plans
Quarterly 3rd Tier Adjustments – WFI,
RWBs and ELCs
Monthly Agency Contractor/Subcontracting
2nd Tier Adjustments
Annual Small Business Participation Plan
41. 41
LEGAL’S ROLE IN
PROCUREMENT AND
CONTRACT
ADMINISTRATION
Mike Marschall, Attorney
General Counsel
Agency for Workforce Innovation
245-7155
42. 42
AWI OFFICE OF GENERAL
COUNSEL (OGC)
Contacts:
Rosa McNaughton, General Counsel
All areas; 245-7150
Jim Landsberg, Deputy General Counsel
All areas & Workforce Services; 245-7156
John Perry, Assistant General Counsel
UC Services; 245-7152
Kristin Harden, Assistant General Counsel
Early Learning; 245-7161
43. 43
WHAT IS A CONTRACT?
“An agreement between two or more parties
creating obligations that are enforceable or
otherwise recognizable as law.” Black’s
Law Dictionary.
44. 44
WHAT IS A CONTRACT?
(continued)
» Agreement and obligations – means a
set of promises exchanged between the
parties.
» Enforceable – means that if a party fails
to do what they promised to do
(breach), a court of law will enter an
order to remedy the breach, i.e., make
the offended party whole.
45. 45
WHAT IS A CONTRACT?
(continued)
For a contract to be enforceable, the parties must have
reached a meeting of the minds, or in other words, agree on
the same terms, conditions, and subject matter.
Therefore, contracts must be clearly written and must
clearly communicate the terms and conditions, i.e.,
obligations; promises.
The terms, conditions, and obligations must be consistent
throughout the document or an explanation given as to why
they are not and which controls (i.e., order of precedence
list).
46. 46
WHAT IS A CONTRACT?
(continued)
Contracts also include:
» Grants.
» Direct orders (formerly known as
purchase orders).
47. 47
WHAT IS A CONTRACT?
(continued)
Each Contract is Unique
» The results of legal review of one contract do not
automatically translate to another contract – even
the same contract year to year.
» What applies in one situation does not necessarily
mean that the same will apply in another situation.
» Each contract must be written with the
circumstances of the specific procurement in mind
and tailored to that situation.
48. 48
THE ROLE OF THE OGC IN THE
PROCUREMENT/CONTRACT
PROCESS
» To provide legal advice when questions
arise during the procurement or contract
process.
Purchasing and program areas are
encouraged to contact the OGC early in
the process when questions arise, but may
contact the OGC at any time during the
process.
49. 49
THE ROLE OF THE OGC IN THE
PROCUREMENT/CONTRACT
PROCESS (continued)
» To review procurement actions for legal
sufficiency. For example, the OGC will
review: ITBs, RFPs, RFQs, ITNs, SSs
» To review contracts for legal sufficiency.
50. 50
THE ROLE OF THE OGC IN THE
PROCUREMENT/CONTRACT PROCESS
(continued)
Legal Review Includes:
»Determination that the procurement document
or contract contains provisions required by
federal and state law.
»Determination that the contract is legally sound,
legally enforceable, and legally defensible in
order to protect the interests of the Agency and
reduce risk to the Agency.
51. 51
THE ROLE OF THE OGC IN THE
PROCUREMENT/CONTRACT
PROCESS (continued)
The OGC does not make determinations or decisions regarding certain
areas but may question or make recommendations regarding the following:
» A determination as to whether the purchase is the best buy.
» How long the term of the contract should be.
» Deliverables or the schedule for their delivery.
» Cost Price analysis.
» What a program area needs, what best suits the program needs.
» When invoices should be submitted or detail of invoices.
» While grammatical and typographical errors may be caught, this is not
a primary purpose of legal review. Purchasing and program areas are
responsible for proofing their own documents.
52. 52
Agency Contracts
Components of the Agency Contract:
» The Agency Core;
» The Scope of Work (Attachment 1 to the Core)
written by the program area; and
» Other Attachments as required or needed.
53. 53
Agency Core Contract
» The standard core contract developed by the
Agency for use in procurements requiring a two
party contract. Developed by the OGC, and may
be downloaded from the Purchasing intranet site.
» The core contract is a template containing
standard, general contract provisions that are
required in most contracts. (Any provisions not
applicable or changed should be done through the
Scope of Work.)
» The core contract is a protected template with
fields to be filled in as appropriate.
54. 54
Agency Core Contract
(continued)
3 Versions of the Agency Core Contract
» Vendor Core Contract (11/18/09)
» Sub-Recipient Procured (11/06/09)
» Sub-Recipient Exempt Procured (11/06/09)
Most recent version date is located in the lower left
hand corner of core contract; always use most recent
version.
55. 55
Agency Core Contracts
Determining Vendor vs. Sub-recipient Relationship
» To determine which core to use, you must first
determine if there is a vendor or sub-recipient
relationship.
» Federally Funded Projects:
Utilize Agency Vendor vs. Sub-recipient
check list – available on the Purchasing
intranet webpage.
56. 56
Agency Core Contracts
(continued)
Determining Vendor vs. Sub-recipient Relationship (continued)
Federally Funded Projects (continued)
Vendor Indicators
» Provides the goods and services within normal business operations.
» Provides similar goods or services to many different purchasers.
» Operates in a competitive environment.
» Provides goods and services that may be ancillary to the operation of
a program.
» Is not subject to the Federal compliance requirements of the federal
program.
(Source: 29 C.F.R. 99.210 (c) (1)-(5))
57. 57
Agency Core Contracts
(continued)
Determining Vendor vs. Sub-recipient Relationship
Federally Funded Projects (continued)
Sub-recipient Indicators
» Determines eligibility.
» Has its performance measured against the objectives of the
program.
» Has responsibility for programmatic decision-making.
» Has responsibility for adherence to applicable federal program
compliance requirements (for example, regulations).
» Uses funds to carry out a program of the organization as
opposed to providing goods or services for a program.
(Source: 29 C.F.R. 99.210 (b) (1)-(5))
58. 58
Agency Core Contracts
(continued)
Determining Vendor vs. Sub-recipient Relationship
(continued)
State Funded Projects:
» Must use Department of Financial Services
Florida Single Audit Act Checklist, Form # DFS-
A2-NS, July 2005.
» Use of this form is required by Rule 69I-5.006,
Florida Administrative Code.
59. 59
Agency Core Contracts
(continued)
Determining Vendor vs. Sub-recipient Relationship
(continued)
Once the vendor vs. sub-recipient relationship has
been identified, use the appropriate Agency Core
Contract, i.e., Vendor Core, Sub-recipient Procured
Core, or Sub-recipient Exempt Procured Core.
60. 60
Agency Core Contracts
(continued)
Vendor Core Contract
» To be used when:
- There is a vendor relationship. For example,
Contractor is providing 100,000 widgets.
» Requires use of:
- Attachment 1 (Scope of Work);
- Attachment 2 (Certifications); and
- ARRA Supplemental Provision (if applicable).
61. 61
Agency Core Contracts
(continued)
Sub-Recipient Procured
» To be used when:
– There is a sub-recipient relationship. For example, the
contractor is running a program, determining eligibility,
enrolling students; and
– The purchase was procured. For example, an RFP was used
to obtain proposals from several entities.
» Requires the following attachments:
– Attachment 1, “Scope of Work”
– Attachment 2, “Certifications”
– Attachment 3, “Assurances”
– Attachment 4, “Audit Requirements”
– ARRA Special Conditions, if applicable
62. 62
Agency Core Contracts
(continued)
Sub-Recipient Exempt-Procured
» To be used when:
– There is a sub-recipient relationship; and
– The purchase was exempt from procurement requirements. For
example, when the contractor is statutorily exempt, such as a
university that is a sub-recipient.
» Requires the following attachments:
– Attachment 1, “Scope of Work”
– Attachment 2, “Certifications”
– Attachment 3, “Assurances” and
– Attachment 4, “Audit Requirements”
– ARRA Special Conditions, if applicable
NOTE: Attachment 1, Scope of Work, does not include the language
incorporating the solicitation documents. This is because there will
be no solicitation documents because there was no procurement.
63. 63
Agency Core Contracts
(continued)
Core Contract Template Fields
1. Contract # - provided by purchasing.
2. Contractor Name – insert.
3. Type of Contract – drop down menu with
following options: fixed price, fixed rate, cost
reimbursement, fixed price/cost reimbursement,
and fixed unit price.
64. 64
Agency Core Contracts
(continued)
Core Contract Template Fields (continued)
4. Begin date of contract – insert month, day, year.
5. End date of contract – insert month, day and year.
6. Contract amount – insert.
65. 65
Agency Core Contracts
(continued)
Core Contract Template Fields (continued)
7. Contract Renewal Term – insert (must be 1 of
the following: (a) for a period not to exceed 1
year; (b) for a period not to exceed 2 years; (c) for
a period not to exceed 3 years; (d) for a period not
to exceed the original term of the Contract; or (e)
may not be renewed. This provision should also
explain how the contract may be renewed, e.g., for
3 one year terms.
66. 66
Agency Core Contracts
(continued)
Core Contract Template Fields (continued)
8. Payee & Contract Manager contact information
– insert.
9. Total number of pages – insert with total
number of pages including attachments.
10. Signatory information – insert.
67. 67
Agency Core Contracts
(continued)
Core Contract Template Fields (continued)
11. Contractor Federal Employer Identification
Number – insert.
12. Reference to solicitation document – insert
appropriate ITB, RFP, RFQ, or SS #.
13. Scope of Work – insert tailored scope of work.
68. 68
Agency Core Contracts
(continued)
Scope of Work
Attachment 1 to core contract.
Prepared by the program area.
Contents may include but are not limited to:
Deliverables
The manner in which deliverables are to be provided
Location where work is to be performed
Timeline
Performance Measures
Reporting/Monitoring requirements
Method of Payment
Liquidated Damages
Special provisions
How to draft a scope of work and the required contents will be presented later.
69. 69
Agency Core Contracts
(continued)
Other Attachments
» Certifications (Attachment 2)
– Required for all contracts
Debarment and Suspension
Lobbying
Drug Free Workplace
Nondiscrimination & Equal Opportunity
Certification Regarding Public Entity Crimes
70. 70
Agency Core Contracts
(continued)
Other Attachments (continued)
» Assurances (Attachment 3)
– Required for all sub-recipients.
– Federal law requires that the sub-recipient give
assurances that it will comply with certain federal
laws. These include laws against discrimination,
laws limiting political activities when the contract is
funded with federal money, safety standards, fair
labor standards, environmental laws, and
compliance with controlling OMB Circulars
regarding audits.
71. 71
Agency Core Contracts
(continued)
Other Attachments (continued)
» Audit Requirements (Attachment 4)
– Required for all sub-recipients
– Details audit requirements for federally and state
funded contracts.
– Details Certain Financial Reporting Requirements
72. 72
Subcontracting by the Contractor
» Allowed only with prior approval of the agency.
» Anticipated subcontract agreements known at the time of
proposal submission and the amount of the subcontract must be
identified in the proposal. If a subcontract has been identified at
the time of proposal submission, a copy of the proposed
subcontract must be submitted to the agency.
» No subcontract that the contractor enters into with respect to
performance under the contract shall in any way relieve the
contractor of any responsibility for performance of its contract
responsibilities with the agency.
» The agency reserves the right to request and review information
in conjunction with its determination regarding a subcontract
request.
» The use of minority subcontractors is strongly encouraged. (See
Minority Subcontract Report Form Attached).
73. 73
CONDUCT
» Integrity and public confidence in a competitive
procurement process is essential, and
» As a state employee involved in the procurement
process, you must maintain complete
independence and impartiality in dealings with
vendors, both in fact and appearance.
74. 74
CONDUCT (continued)
Always remember to follow statutes and regulations
regarding ethics in procurement. For example,
» Section 112.313(2), F.S., Solicitation or acceptance of
gifts.
» Section 112.313(3), F.S., Doing business with one’s
agency.
» Section 112.313(4) F.S., Unauthorized compensation.
» Section 112.313(6) F.S., Misuse of public position.
» Section 112.313(7), F.S., Conflicting employment or
contractual relationship.
» Section 112.313(8), F.S., Disclosure or Use of Certain
Information.
75. 75
CONDUCT (continued)
Section 112.3148, F.S., Prohibiting:
» a procurement employee for the state from soliciting any gift
from a political committee, committee of continuous existence,
lobbyist who has lobbied his or her agency within the past 12
months, or the partner, firm, employer, or principal of such a
lobbyist;
» a procurement employee for the state from knowingly accepting,
directly or indirectly, a gift worth over $100.00 from such a
lobbyist, from a partner, firm employer, or principal of the
lobbyist, or from a political committee or committee of
continuous existence. 112.3149:Prohibits a procurement
employee for the state from soliciting an honorarium which is
related to his or her public office or duties; and
» a procurement employee for the state from knowingly accepting
an honorarium from a political committee, committee of
continuous existence, lobbyist who has lobbied the person’s
agency within the past 12 months, or the partner, firm,
employer, or principal of such a lobbyist.
76. 76
CONDUCT (continued)
» Make decisions based upon the law and the
best interests of the agency and the public.
» Disregard personal relationships and
preferences, and avoid personal gain.
» Act in ways you would be comfortable
seeing in the press, discussing with your
family, and defending before a judge.
79. 79
Contractual Services
s. 287.058(4), F.S. – states that every procurement
of contractual services in excess of Category Two
($25,000) threshold shall be evidenced by a
written agreement or purchase order
– Internal Agency Threshold
$25,000 but <$50,000 requires MFMP Direct Order
>$50,000 requires a Two-Party Written Agreement
– One exception – State Term Contracts
Note: Agencies are allowed to use the PCard for
contractual services direct billings that do not exceed
$75,000 in a State fiscal year
80. 80
WRITING THE CONTRACT
Basic Core Contract Layout
Attachment 1 Recommended Format for the
Statement of Work.
Include Performance Specifications.
– Measures
– Definition
– Measurement Methodology
Include Method of Payment
81. 81
Attachment 1
(Statement of Work)
Services to be Provided (What)
Manner of Service Provision (How)
Method of Payment (How and When)
Special Provisions (Any additional
clauses that were not previously
addressed in the core contract,
solicitation or Attachment 1)
82. 82
A. Services to be Provided
1 Definition of Terms
a) Contract Terms
b) Program or Service Specific Terms
2 General Description
a) General Statement
b) Authority
c) Scope of Service
d) Major Program Goals
3 Service Recipients
a) General Description
b) Recipient Eligibility
c) Recipient Determination
d) Contract Limits
83. 83
B. Manner of Service Provision
1) Service Tasks
2) Staffing Requirements
a) Staffing Levels
b) Professional Qualifications
c) Staffing Changes
d) Subcontractors
3) Service Location & Equipment
a) Service Delivery Location
b) Service Times
c) Change in Location and Times
d) Equipment
84. 84
B. Manner of Service Provisions
Continued….
4) Deliverables
a) Service Unit
b) Reports
c) Records and Documentation
5) Performance Specifications
a) Outcomes and Outputs/Accountability
- Outcomes: i.e., reductions in adverse conditions, scores, etc.
- Outputs: i.e., specific number of activities that need to be
completed.
b) Standards Definitions
c) Monitoring and Evaluation Methodology
d) Performance Definitions
85. 85
B. Manner of Service Provisions
Continued….
6. Provider Responsibilities
a) Provider Unique Activities
b) Coordination with Other Providers and/or
Entities
7. Agency Responsibilities
a) Agency Obligations
b) Agency Determinations
87. 87
Section Two, Part I of the Purchasing and
Contracting Procedures Manual
– Contract Development Process
» Basic Core Contract
» Scope of Work
» Certifications
» Other Attachments
– Types of Contracts
– Contract Review, Approvals, Execution, Distribution
and File Set Up
Contract Development
88. 88
Review & Approval Process
s. 287.057 (19), F.S. – Contractual Services >$50,000
– Each agency shall establish a review and approval
process for all contractual services contracts costing
more than the threshold amount provided for in
s.287.017 for Category Three which shall include but
not be limited to:
Program
Financial, and
Legal
review and approval. Such review and approvals shall
be obtained before the contract is executed.
89. 89
Contract Routing Review Process
Program Area
Purchasing Manager
IT Manager, if applicable
Grant Manager
Budget Manager
General Counsel
Executive Management Level Authority
91. 91
Contract Amendments
There are two types of contract amendments:
– Those that result in a Minor Revision
» A technical change that does not alter the contract objectives
Examples
– Misspelled words
– Word omissions
– Transposed numbers
– Those that result in a Major Revision
» A major revision is a substantive change to the contract.
Example
– Budget Modification
– New Clause
– Change in timeframes for completing objectives
92. 92
Processing a Minor Revision
Make a pen and ink change to the contract.
All signers on the original contract must
initial and date each change.
Never “white out” or scratch out” text;
simply draw a single line through the text.
The original language must be legible.
93. 93
Processing a Major Revision
Requires a Contract Amendment.
– An amendment is a document which makes
substantive changes to any part of an executed
contract. A request to amend a contract may be
initiated by either the Agency or the contractor. For
example….
» Method of Payment
» Time period of the contract
» Cost of Services
» Services to be delivered.
94. 94
Development of an Amendment
Meet with the contractor to discuss any
proposed changes
– If the contractor initiated the request, please have
them submit the request in writing.
– Determine why the contract needs to be changed;
changes should only be made when there is
sufficient justification for doing so.
– Assess the implications of the proposed change on
the delivery of services, service units, cost of
services, the ability of the contractor to render
quality services, and the effect the change will have
on the clients served by the contractor.
96. 96
Amendment Review Process
Amendments must go through the same review process
as contracts.
– Complete the Contract Review Form.
– Attach draft copy of amendment for review and approval.
– Attach copy of previously executed amendments and a copy
of the executed original contract.
Remember:
– An amendment may not be retroactive.
– Expired contracts may not be amended.
– Amendments must be executed prior to the effective date.
– Amendments are to be signed by original contract signers.
98. 98
Contract Renewals
s. 287.057(14)(a), F.S., states:
– Contingent upon satisfactory performance evaluation
– Subject to the availability of funds.”
s.60A-1.048(b), F.A.C., states:
– Justification that the renewal is in the best interest of
the State
– Maintain a copy of the justification in the contract file
– Contingent upon satisfactory performance evaluation
– Authorized by mutual agreement in writing
Purchasing and Contracting Procedures Manual
– Page 86 incorporates the requirements listed above
100. 100
Contract Renewals
Contracts for commodities or contractual services
may be renewed on a yearly basis for a period up
to 3 years after the original contract, or for a
period no longer than the term of the original
contract, whichever is longer.
Renewal language must be included in the original
contract (and bid/proposal/reply)
Renewal is subject to same terms and conditions
of the original contract.
Renewal must be executed before the expiration
date of the contract.
101. 101
Renewal Exceptions
A Renewal may not be processed for the
following contracts:
– Contracts resulting from an emergency
procurement.
– Single Source procurement contracts.
– Contracts procured competitively if the costs of
contemplated renewals was not included in the
initial ITB, RFP or ITN.
102. 102
Processing a Renewal
Complete, sign and date the Contract Routing Review
Sheet.
Do not change contract start date, only update the ending
date.
Attach draft copy of renewal amendment and renewal
performance evaluation to a copy of the fully executed
contract, along with a copy of the vendor vs. sub-recipient
checklist, and any previous amendments/renewals and
forward to Purchasing (Contract Administrator) for agency
review and approval.
REMEMBER: Renewals must be executed prior to the
expiration date of the original contract.
104. 104
Contract Extensions
An extension is an increase in the length of
the contract time period. It is processed by
preparing an amendment.
An extension does not allow for an
expansion of the scope of services.
105. 105
Reasons for Extending a Contract
The Agency or the Contractor under
estimated the time necessary to complete
the contract.
Arrival of a crucial piece of equipment
needed to complete a task is delayed.
Legitimate delay in contract start-up date
results in unmet contract objectives and
funds not being fully expended by the
contract expiration date.
106. 106
Conditions of Contract Extensions
Amendment for extension must be executed
before the contract expires.
Extension period shall not exceed six months.
Extended contract subject to same terms and
conditions of initial contract.
Extension granted only once, unless failure to
meet the criteria set forth in the contract for
completion of the contract is due to events beyond
the control of the contractor.
108. 108
Who is a Contract Manager?
Chapter 287.057(15), F.S., provides that
“For each contractual services contract, the
Agency shall designate an employee to
function as a contract manager who shall be
responsible for negotiating, administering,
monitoring and enforcing the terms and
conditions”.
109. 109
Roles and Responsibilities
Enforcing the terms and conditions of the contract.
Carrying out the preparations for contracting.
Developing the Scope of Work (SOW).
Developing evaluation tools for bid analysis.
Negotiating contract, amendments, etc..
Reviewing and approving invoices.
Monitoring provider’s performance and corrective action
plans, as necessary.
Maintains a comprehensive Contract Manager File.
Performing contract close out procedures.
110. 110
Monitoring Responsibilities
Compliance with Terms and Conditions,
Getting what we pay for,
Track fiscal responsibilities (are funds being
used appropriately),
Detect non-compliance, problem resolution,
Corrective Action Plans, and follow-up,
Acceptable level of services is being
provided
111. 111
Monitoring Plan
Every Contract Manager is required to establish a written
Contract Monitoring Plan, and it requires their
Supervisor’s review and approval
Written Plan should include the following:
– Periodic Reporting
– Contract Deliverables by On-site Reviews and Observations
» Develop a checklist when deliverables are due (i.e., insurance
certificates)
» Minimum annual review
– Client Surveys
– Other periodic contact and on-going monitoring
– Review of Audit Report
– Review and approval of invoice payments
– Signed Statement of Independence
112. 112
Contract Closeout Process
Begin 60 days prior to contract expiration.
Documents Success or Failure.
Reference point for future procurements.
Complete the AWI Contract Manager’s
Contract Closeout Guide check list.
http://www.floridajobs.org/forms/AWI_Contract_Closeout_Guide.doc
113. 113
What is the Contract Manager File?
A tool used by the Contract Manager to
keep pertinent information related to a
contract in a logical and coherent manner.
The files are maintained for a period of 6
years following contract closeout or
resolution of pending action.
114. 114
Purpose of Contract Manager’s File
State law requires that a file be maintained for
every contract.
Ensure that documentation exists to protect the
agency, as well as, to clarify events, should a
protest, audit or other situation arise.
Provides pertinent information related to a
contract.
Provides required documentation on decisions and
events related to the contract.
115. 115
Contract Manager’s File
Consists of two sub-files:
– The procurement file: The procurement file contains all
documentation and information regarding the providers
selection process before the contract is executed.
– The contract file – The contract file contains all
pertinent information related to a contract from the time
it is awarded until contract closeout.
– General Services keeps the AGENCY CONTRACT
ADMINISTRATOR’S originals. However, each
Contract Manager should also maintain copies for their
records.
116. 116
Contract Manager’s File
# Section Title Contents
1 Contract Record Quick reference info (provider name, address, phone, email); contact sheet detailing
agreement history (meeting notes, phone contact documentation); calendar showing all
reporting dates, payment dates, renewal dates, deliverables schedules.
2 Authoritative Original agreement & amendments; Single Audit Act documentation; Florida Statutes,
Florida Administrative Code, department rules, appropriation language;
subcontracts/subgrants and associated ITB/RFP/ITN document; provider
certifications.
3 Payment History Spreadsheet with running payment balance, warrant copies, voucher copies.
4 Payment Request Invoices, deliverables schedule, deliverables documentation.
5 Verification Site visit documentation, independent documentation supporting deliverables, expense
validation, audit reports & findings resolution, reconciliation of audit report expenses
versus invoiced expenses, client surveys.
6 Correspondence All correspondence documentation – letters, email copies, vendor-related media
copies, etc.
File should be neat, complete and organized. The following table is a DFS example in a multi-leaf file
folder organized into six main sections and the respective, relevant contents.
117. 117
Resources
Florida Statutes
Florida Administrative Code
AWI Agency Addressed Memoranda
DMS State Purchasing Memoranda
DFS Reference Guide to State Expenditures
DFS CFO Memoranda
DFS Best Practices for Contract and Grant Management
OMB Circulars
MyFloridaMarketPlace Tool Kit
Internet
AWI Intranet
Contract Monitoring Tool
119. 119
Monitoring Overview
The Need for Monitoring
Types of Monitoring
Elements of Monitoring
Monitoring Methods and Tools
Programmatic Monitoring
Contract Monitoring
120. 120
The Need for Monitoring
Monitoring—what is it? An objective, on-going and reasonable
evaluation that occurs throughout the contract period to ensure
compliance with applicable laws, rules, regulations, policies,
and contractual provisions.
Why monitor?
– It is required.
– Ensures contractor’s compliance with the terms and conditions of the
contract and applicable laws, rules, and regulations.
– Ensures Program area is getting what it needs and is only paying for
what it contracted for.
– Enables early detection/prevention of non-compliance by identifying and
resolving potential problems through constructive, timely feedback.
– Ensures necessary, timely, and appropriate corrective actions are taken.
– Ensures fiscal responsibilities--costs are allowable, allocable and
documented.
121. 121
Types of Monitoring
Programmatic Monitoring
– Evaluates the contractor’s performance in meeting program areas’
contract scope of work.
– Evaluates contractor performance quality.
– Establishes historical data for potential future contracts with the
Contractor.
Contract Monitoring
– Ensures Agency compliance with federal and state requirements.
– Provides Agency oversight and ensures best practices, concerns
and problems are shared throughout the Agency.
– Verifies payments are within the limits of the contract.
122. 122
Elements of Monitoring
Maintaining well documented, current contracting files.
Identifying, reviewing, and analyzing Contractor reports.
Tracking project milestones and timelines, contractor
performance, and costs.
Reviewing, approving, processing, and tracking invoices.
Reconciling invoice payments.
Monitoring Plans: A formalized means of defining
appropriate and specific monitoring methods. Determined
by the type of contract, level of risk, amount of award,
complexity of program, etc.
– Tailor monitoring plans and activities to the particulars of
each contract.
Documentation!
123. 123
Monitoring Methods and Tools
Determine monitoring methods and tools.
– May be impacted by the type of contract or funding and
may include documentation, observations, surveys,
interviews, tests, etc.
– Determine the nature, timing and extent of monitoring.
» Program complexity: Complex programs have a higher risk of
non-compliance and require more rigorous monitoring.
» Vendor/Sub-Recipient Risk: Prior history, personnel changes,
new systems and the status of the contract relationship
impacts the level and frequency of monitoring.
» Amount of Contract Award: The larger the contract award, the
greater the risk and need for more rigorous monitoring.
– Identify the tools to be used to measure and assess
performance and compliance.
124. 124
Programmatic Monitoring
Programmatic Monitoring deals with contract and program
compliance requirements.
– Should answer the question “are we getting” what we contracted
for?
– Includes both primary contractor and any sub-contractors.
Evaluates and documents Contractor/sub-contractor
performance.
May be met by making on-site visits, reviewing contractor
documentation, conducting periodic or client reviews,
personal observations, conducting tests, reviewing
state/agency audits, or any other activities that provides
assurances of satisfactory contractor performance and
project requirements are met as scheduled.
Must be documented.
125. 125
METHODS OF PROGRAMMATIC
MONITORING
Documentation – may be written reports from the
contractor, acceptance tests, client surveys, audit
reports, invoices, e-mails, letters, and other forms
of documentation etc.
Observation – includes on-site reviews to the
contractors’ location or other locations where the
services are being provided to evaluate progress,
processes, and documentation first hand.
126. 126
Tips for Effective Programmatic
Monitoring
Determine monitoring requirements, methods, tools, etc.. Ideally, this
should be done during the RFP and contract development process.
Maintain regular, effective contractor dialogue and review contractor
performance and progress on a regular basis.
When possible, conduct on-site reviews and interview contractor staff
to determine their understanding or contractual requirements, review
key documentation and observe operations.
If applicable, conduct client surveys to determine service delivery
quality and satisfaction and require the contractor to resolve
complaints.
Ensure the contractor complies with the AWI Program standards,
regulations and contract provisions.
Document monitoring results and ensure that appropriate corrective
action is taken for any deficiencies.
Follow-up to ensure that deficiencies have been timely and
satisfactorily corrected .
127. 127
Summary of Programmatic
Monitoring
The Contract Manager is responsible for the
ongoing management of the contract.
Maintaining a well organized contract
managers’ file is a reflection of you.
Effective programmatic monitoring ensures
your contracts and the services meet your
program’s objectives.
129. 129
Contract Monitoring
Why do we have contract monitoring?
What information will be reviewed?
How do we complete the contract monitoring process?
Who will be monitored during FY09-10?
When will the monitoring take place?
Where will the monitoring take place?
08-09 Observations
08-09 Overview – Findings.
Other Suggested Best Practices.
130. 130
Why do have contract
monitoring?
AWI is charged by state and federal regulations
with oversight of the funds it expends for
contracted services.
Contract monitoring encompasses administrative
and performance standards expected to be met by
the Agency’s contractors according to their
contracts and applicable federal & state rules,
regulations and instructions.
AWI’s contract monitoring procedures are subject
to audit by state and federal agencies.
131. 131
What information will be Reviewed?
Contract/Direct Order
Scope of Work
Invoices and invoice process.
Other file documentation that supports “due
diligence” over the contract by AWI staff
Other documentation outside of the contract
file. (AWI policy, program rules,
federal/state procurement instructions)
132. 132
How do we complete the contract
monitoring process?
Entrance Meeting – Meet with program staff
Review the contract
Ensure the contract and contract file meet the minimum
federal, state and AWI’s procedure requirements
Ensure the scope of work and deliverables are met based
on contract language
Review the invoices to ensure they are paid within and
according to the terms and conditions of the contract
Ensure that expenditures were made in accordance with
applicable laws, rules and regulations; were authorized
by the agreement; were directly related to the project;
and were properly supported
133. 133
How do we complete the contract
monitoring process? (Continued)
Identify and summarize testing results and any deficiencies
noted
Identify and summarize testing results and any best
practices found
Exit Conference on draft program summary report
Additional input from contract managers is required (if
needed) to perform any follow-up as we finalize test
results
Complete the AWI draft report
AWI management review and approval of report
Send out final approved report to program areas
Corrective action plan processing performed, if needed
134. 134
Who will be Monitored
FY 09-10
AWI has a Monitoring Plan that assists in the
determination which Contracts will are selected to be
monitored.
Five contracts and four direct orders have been selected for
monitoring at this time.
– Three full contract monitoring process
– Two contract monitoring for ARRA only
– Four Direct Orders processes
AWI Management may make changes to this sample list.
135. 135
When will the monitoring take
place?
Starting March 1, 2010 and completion is
targeted by June 30, 2010.
Each Project Manager/Contract Manager
will be contacted by e-mail with more
information.
136. 136
Where will monitoring take place?
Contract-related data request memos will be sent
to the program areas.
All testing material will be scheduled and data
items will be reviewed by FMSAS staff.
Question/Answer sessions are currently underway
with Project Managers or Contract Managers.
The review process continues from FMSAS
office.
Summary results are performed from our office.
137. 137
08-09 Overview – Observations
Missing approval documentation in files
Subrecipient vs vendor checklist in the file but incomplete
Missing file information
Missing deliverable approval from file
Inconsistent or incomplete supporting documentation in
files
Contents of contract file incomplete and/or disorganized
See handouts
138. 138
08-09 Overview – Findings
AWI could not provide a comprehensive two-
party contract listing.
An employee was conducting contract manager
duties but was not an AWI certified contract
manager.
AWI’s contract renewal process was not followed
as specified in the AWI’s policy and procedures
manual.
Contract Managers did not conduct the contract
close-out procedures.
139. 139
08-09 Overview – Findings (Con’t)
Contract managers did not document payment
reconciliation to FLAIR (state accounting system)
in the contract files.
140. 140
Other Suggested Best Practices
A checklist has been developed to ensure that the
contract renewal process has complete minimum
agency requirements.
A checklist has been developed to determine and
document the subrecipient vs vendor relationship
for all contracts.
Coordinate with other AWI staff as needed to
share guidance information, technical assistance or
other available reference materials.
Continue/expand management training for
contract/program staff.
141. 141
American Recovery and
Reinvestment Act (stimulus)
Additional/enhanced monitoring will be required
in 2009-10 for grant funds disbursed under the
American Recovery and Reinvestment Act. We
anticipate additional monitoring requirements will
apply. We’re currently waiting on further
guidance and instructions from the federal
awarding agencies and OMB. We are advising
contract managers that have contract with stimulus
dollars, have there contract files and all pertinent
documentation readily available for monitoring
purposes.