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					       AGENCY
CONTRACT MANAGEMENT
     CERTIFICATION
      TRAINING

     February 2010
                      1
      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 ….



                                              2
         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



                                                            3
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

                                                             4
Organizational Chart
                      Cynthia R. Lorenzo
                           Director




                   Kevin Thompson, Director
                             of
                   Agency Support Services




                        Robert Monroe
                    General Services Officer




           Bridgett Jackson
           General Services
               Specialist




                       Laura Jennings
                 General Services Purchasing
                          Manager



                                         Christina Harrell
    Eleanor “Fran” Shewan          Purchasing Analyst – Contract
    Purchasing Supervisor              Administration /CMBE
                                           Coordinator




        Sonja Stokes
    Purchasing Specialist




                                                                   5
Guiding Principles and Responsibilities

 Legality and Ethics
 Effective Services
 Efficiency
 Economy
 Fairness & Open Competition
 Diversity


                                          6
                       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
                                                      7
    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

                                                               8
PROCUREMENT AND CONTRACT
     TRACKING SYSTEM
         (PACTS)
        OVERVIEW
          Laura I. Jennings
        Purchasing Manager
   Agency for Workforce Innovation




                                     9
                       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)
                                                           10
              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/

                                                    11
METHODS OF PROCUREMENT

          Laura I. Jennings
        Purchasing Manager
   Agency for Workforce Innovation


                                     12
             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


                                                                              13
           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
                                               14
               Internal and External
                   Requirements
   Internal                        External
    –   Cost Price Analysis          – DMS
    –   Vendor vs Subrecipient          CSA Telecommunication
    –   Conflict of Interest            Single Source >$150,000

    –   IRA                          – DFS
    –   OCO                          – Council of Efficient
                                       Government
    –   Facility Services
                                     – TRW
    –   Routing Process



                                                              15
           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.




                                                       16
      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.


                                                    17
   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‖

                                                          18
INFORMATION TECHNOLOGY’S ROLE
  IN PROCUREMENT AND CONTRACT
          MANAGEMENT

             Parker Cape
        IT Contract Manager
   Agency for Workforce Innovation

                                     19
                    Objectives
   Discussion of Five Topics:
    –   Definition of Information Technology
    –   Information Resource Authorizations (IRA)
    –   Security Considerations
    –   Early Involvement
    –   Contract Review Process




                                                    20
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.
                                                          21
Information Technology Definition
          continued….
   Equipment
    –   Server/Terminal/Thin Client
    –   Storage/Tape/Virtual Tape
    –   UPS/Surge Suppression/Batteries
    –   Firewalls/Infrastructure Equipment/VPN
    –   Desktop/Laptops
   Software
    – Licenses/renewals/maintenance
   Services
    – IT Consulting/Staff Augmentation
    – Data Circuits

                                                 22
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.

                                                      23
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




                                                                                   24
                 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!



                                                                                        25
                    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

                                                                                26
IRA Submission Process
    IRA Submission
                                        Begin IRA
                                       Submission




                                       Submit IRA




                                     IT Reviews IRA




                                    Does AWI have an       Yes   Is existing solution    Yes
                                    existing solution?               acceptable?




                                               No                            No




                                       Is purchase
                                  compatible with Agency   No    Is there an alternate   No
                                   technology & Senate                 solution?
                                        Bill 1892?



                                              Yes                            Yes




             Contact
                                      Will purchase
           Application      Yes   consume 200 or more                                          Terminate IRA
           Manager &
                                   hours of IT resource                                         Submission
         Complete Project
                                           time?
         Definition Form


                                               No

            Application
          Manager Walk
         Through Process
                                      Enter “Service
          with Business
                                        Request”
               Unit




                                       Process IRA




                                        End IRA
                                       Submission




                                                                                                               27
FINANCIAL SERVICES ROLE IN
PROCUREMENT AND CONTRACT
       MANAGEMENT

        Alisa Roberson
   Disbursements Supervisor
Agency for Workforce Innovation

                                  28
    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




                                                                             29
    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
                                                                      30
    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

                                                                   31
    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
                                                32
DOING BUSINESS WITH
 MINORITY BUSINESS
    ENTERPRISES

       Christina Harrell
    Contract Administrator
Agency for Workforce Innovation
                                  33
       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?‖




                                          34
            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.                            35
         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

                                                          36
Sample Purchasing Types Where
Minority Vendors May Be Utilized
 Contracting/Subcontracting
 Advertising
 Printing
 Office Furniture
 Travel




                               37
         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.
                                                                                    38
    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.       39
    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




                                         40
 LEGAL’S ROLE IN
PROCUREMENT AND
    CONTRACT
 ADMINISTRATION


   Mike Marschall, Attorney
        General Counsel
Agency for Workforce Innovation
           245-7155
                                  41
    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
                                                 42
   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.




                                           43
   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.
                                          44
      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).
                                                        45
  WHAT IS A CONTRACT?
       (continued)

Contracts also include:

» Grants.
» Direct orders (formerly known as
  purchase orders).


                                     46
      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.

                                                    47
    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.
                                              48
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.


                                                 49
   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.

                                                   50
 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.


                                                                     51
           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.


                                               52
           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.

                                                   53
              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.
                                                        54
          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.
                                                      55
              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))                              56
             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))
                                                                     57
           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.
                                                      58
         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.



                                                      59
         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).
                                                    60
            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
                                                               61
              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. 62
          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.
                                                      63
          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.



                                                       64
          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.

                                                      65
         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.

                                               66
         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.
                                                     67
                   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.

                                                                                    68
         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

                                                        69
          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.
                                                             70
         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




                                                            71
        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).                  72
                   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.



                                                       73
            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.
                                                             74
        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.
                                                                 75
          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.

                                                   76
        CONCLUSION


          When in doubt…
contact the Office of General Counsel
                  at
               245-7150




                                        77
WRITING THE CONTRACT

     Laura I. Jennings
    Purchasing Manager



                         78
            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
                                                                 79
    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
                                        80
             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)        81
         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                   82
       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

                                        83
     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
                                                                       84
  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


                                                85
CONTRACT DEVELOPMENT AND
      REVIEW PROCESS


           Laura Jennings
        Purchasing Manager
   Agency for Workforce Innovation
                                     86
              Contract Development
   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

                                                     87
      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.

                                                                 88
Contract Routing Review Process
 Program Area
 Purchasing Manager
 IT Manager, if applicable
 Grant Manager
 Budget Manager
 General Counsel
 Executive Management Level Authority

                                         89
AMENDMENTS, RENEWALS
   AND EXTENSIONS



                  90
                  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   91
    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.



                                                92
         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.


                                                        93
       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.
                                                        94
      Developing an Amendment
            Continued….
 Conduct a cost/price analysis to justify
  changes in contract amount.
 Draft an amendment based upon
  amendment format.




                                             95
         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.

                                                                96
RENEWALS




           97
              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

                                                                  98
Renewal Performance Evaluation
   See revised Renewal Template, dated
    4/18/09

      http://www.floridajobs.org/forms/Renewal_Boilerplate.doc




                                                                 99
             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.

                                                   100
           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.


                                                    101
            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.

                                                             102
EXTENSIONS




             103
         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.




                                             104
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.
                                               105
    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.


                                                    106
CONTRACT MANAGEMENT


         Laura Jennings
      Purchasing Manager
 Agency for Workforce Innovation

                                   107
     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‖.


                                              108
       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.


                                                          109
    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

                                              110
                    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

                                                                            111
      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



                                                                112
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.



                                               113
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.

                                                  114
         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.
                                                            115
               Contract Manager’s File
 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.

#    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.

                                                                                                                  116
                     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
                                                           117
PROGRAMMATIC MONITORING

          John Herndon
 Unemployment Compensation Services




                                      118
       Monitoring Overview
 The Need for Monitoring
 Types of Monitoring
 Elements of Monitoring
 Monitoring Methods and Tools
 Programmatic Monitoring
 Contract Monitoring



                                 119
           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.
                                                                        120
             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.



                                                                       121
            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!
                                                                     122
    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.

                                                                  123
          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.
                                                                       124
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.


                                                       125
     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 .

                                                                        126
      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.


                                           127
CONTRACT MONITORING



 Financial Management Systems
        Assurance Section
     Henrietta ―Penny‖ Lee
           (FMSAS)


                                128
            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.



                                                          129
          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.

                                                  130
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)
                                           131
       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                          132
    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

                                                             133
            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.




                                                              134
    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.




                                             135
    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.
                                                   136
    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



                                                             137
        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.

                                                  138
08-09 Overview – Findings (Con’t)
   Contract managers did not document payment
    reconciliation to FLAIR (state accounting system)
    in the contract files.




                                                   139
    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.

                                                     140
         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.
                                                      141
QUESTION AND ANSWER
       SESSION




                      142
Day Two




          143
―Contract Management in Florida‖

               presented by
     Walter Sachs, DCF Staff Director
         Contract Administration




                                        144
Thank you


            145

				
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Description: Service Contract Make for Training document sample