Contracts Management Guide - Texas Comptroller of Public Accounts

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(2) all direct or indirect pecuniary interests the financial advisor or service provider has in any party to a transaction with the state governmental entity, if the transaction is connected with any financial advice or service the financial advisor or service provider provides to the entity or member, in connection with the management or investment of state funds. The state statute further provides that: � Financial Advisor or Service Provider shall disclose a relationship (described above), without regard to whether the relationship is a direct, indirect, personal, private, commercial, or business relationship; � Financial Advisor or Service Provider must file an annual statement with the administrative head of the governmental entity and with SAO disclosing the relationships outlined above; � If no relationship existed during the disclosure period, annual statement must state this fact affirmatively; � Annual statement must be filed no later than April 15th (for the previous calendar year period) on a form prescribed by the entity; In addition to the above, some state agencies have special conflict of interest provisions that apply to their employees. These laws, rules or policies should be reviewed and followed by agency staff. See the Procurement Manual for additional information on conflict of interest. (http://www.window.state.tx.us/procurement/pub/manual/) 11
Contract Advisory Team P ursuant to Texas Government Code § 2262.101, the Contract Advisory Team (CAT) is created to assist state agencies in improving contract management practices by reviewing the solicitation of major contracts. Major contracts are defined in Texas Government Code § 2262.001 as any contract having the monetary value of at least one (1) million dollars during the original term of the contract, not including any renewal periods. Section §2262.102 of the Texas Government Code lists the following members for the CAT: • one member from the Office of the Attorney General (OAG); • one member from the Comptroller of Public Accounts (CPA); • one member from the Department of Information Resources (DIR); and • one member from the Office of the Governor The Legislative Budget Board (LBB) and the State Auditor’s Office (SAO) serve as technical advisors to the CAT. CAT Review of Major Contracts To facilitate the process of major contract solicitation review by CAT, state agencies must submit their: • Solicitation document(s) - A solicitation document can be but is not limited to a Request for Proposal (RFP), Invitation for Bid (IFB), Request for Application (RFA), Request for Offer (RFO), or Request for Qualifications (RFQ); and • Any other documents as supplemented to the solicitation or incorporated by reference into or as part of the solicitation. The CAT will review the solicitation document(s) from a contract management and best practices perspective. In the course of the review, the CAT provides recommendations, identifies risks and offers risk mitigations within thirty (30) days of receipt. If the agency does not receive a response from the CAT within thirty (30) calendar days of initial receipt of the solicitation document(s), the agency may proceed with issuance of its solicitation. Solicitation documents should be sent to the CAT for review through the CPA web application CATRAD at https://portal.cpa.state.tx.us/. In addition to sending the actual solicitation documents, agency personnel are required to fill out a brief submission form summarizing the contract solicitation. This form replaces the Major Contract Questionnaire that is no longer required for CAT reviews. Prior to your first use of CATRAD, state agency personnel must ensure that they: 1) are registered users of the CPA web application portal and 2) have 12 Chapter 1
Page 2 and 3: STATE OF TEXAS CONTRACT MANAGEMENT
Page 4 and 5: Exhibit C to RFP Template Compensat
Page 6 and 7: THIS GUIDE: • Provides practical
Page 8 and 9: Contract Management Framework Effec
Page 10 and 11: Contract Management: This refers to
Page 12 and 13: Vendor: a business entity or indivi
Page 16 and 17: een granted portal membership right
Page 18 and 19: A central agency, such as DIR, plan
Page 20 and 21: The level of risk associated with e
Page 22 and 23: • Request for Information (RFI) -
Page 24 and 25: • Open Enrollment Contracts. Pote
Page 26 and 27: TASK SUGGESTED LEAD TIME FROM CONTR
Page 28 and 29: (4) The Guide offers recommendation
Page 30 and 31: Preparing the Solicitation fter an
Page 32 and 33: • Expansion of an existing instal
Page 34 and 35: COMMON TYPES OF PAYMENT Payment Typ
Page 36 and 37: Quantity The solicitation document
Page 38 and 39: HIGH Level of Importance LOW Source
Page 40 and 41: Further discussion on contract moni
Page 42 and 43: The Electronic State Business Daily
Page 44 and 45: Solicitation Submission and Opening
Page 46 and 47: data information system. This contr
Page 48 and 49: A sample agenda for a team briefing
Page 50 and 51: In the first scenario, the top five
Page 52 and 53: The second question, “What will h
Page 54 and 55: • Exemption of Goods or Services
Page 56 and 57: Any contract or mutual understandin
Page 58 and 59: Form of the Contract Evidence of an
Page 60 and 61: State Contracting Standards/Oversig
Page 62 and 63: Contract Manager Responsibilities T
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� Contract value and complexity;
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Consider the effect that the contra
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importance of the contract to the c
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Below is a sample risk assessment.
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If the contract does not provide fo
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In order to determine what constitu
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4. Proper dispute resolution is a c
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Since you have failed to perform th
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Contract Close-Out T he contract cl
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Appendix 1 79
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esponsibility for ensuring the requ
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(d) If Respondent takes any excepti
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4. Exhibit C: Authorized Key Person
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LIABILITIES RESULTING FROM THE NEGL
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11.17. Patent, Trademark, Copyright
Page 94 and 95:
11.29. Contracts for Services In ac
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Signatures: EXHIBIT A OF CONTRACT N
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This Exhibit C is incorporated into
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EXHIBIT A to RFP No. ______ HUB SUB
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Enter your company’s name here: S
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EXHIBIT B EXECUTION OF PROPOSAL RFP
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authority of the state auditor, und
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Appendix 3 Pre-Solicitation Confere
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Appendix 5 Evaluation Team Guidelin
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Non-voting Members Appendix 6 Evalu
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Vendor Name: Reference Name: Compan
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Appendix 9 Contract Terms Informati
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Consideration/Price Example 1 The c
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Antitrust Contractor represents and
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Contractor Responsibilities Contrac
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Right to Audit Contractor understan
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Termination This contract shall ter
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When a Texas business address shown
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Section 411.1405, are subject to pe
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Email Address of Contact: (3) State
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Training: Experience: Certification
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Evaluation Results Appendix 12 BAFO
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Max Points 30 Vendor Response / Eva
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Ability Rating Issues/Questions COM
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Total Scores: Price Points + Techni
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DATE: TO: [Name of Executive] THROU
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Organization • No structured cont
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Index A Abandonment or Default, 56
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i Black’s Law Dictionary (7 th ed
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“Apparent authority is not enough
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c. Notification of objection to the
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Contracts Management Guide - Texas Comptroller of Public Accounts

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