Contracts Management Guide - Texas Comptroller of Public Accounts

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• Request for Information (RFI) - Requests for Information are used primarily as a planning tool. The RFI is an optional method that may be used to gather information in order to prepare a complete and accurate solicitation document when an agency does not have the necessary information to prepare a complete and accurate solicitation document. RFI’s are used to identify industry standards, best practices, potential performance measures, and cost or price structures or to generally ascertain the level of interest of prospective respondents. A preliminary solicitation document which provides an initial description of the program objectives and specifications usually accompanies an RFI for review by potential respondents. Agencies may use the information derived from the responses to finalize their solicitation document. Agencies are not required to incorporate any or all of the comments or suggestions made by the contractor, but the hope is that the contractor will provide useful information in the RFP development process. • Request for Offer (RFO) – Generally used for IT Commodity Purchases exempt from the DIR IT Commodity Program. The process is generally the same as the RFP process. Request for Offer purchases include the purchase of automated information systems and are covered under Texas Administrative Code, Title 34, §20.391. • Request for Proposal (RFP) – Used when competitive sealed bidding is not practicable or advantageous. Generally this is when factors other than price are to be considered or when objective criteria cannot be defined. One of the key differences between an IFB and an RFP is that negotiations are allowed in an RFP. Discussions are allowed with the respondents and best and final offers are solicited. Unless otherwise exempted, agencies must submit their RFPs to CPA for review prior to solicitation. • Request for Qualifications (RFQ) – Generally used for Professional Services wherein the respondents are evaluated based solely on their qualifications. Price is not considered until after selection is made by the agency based on qualifications. Professional Services are covered under Texas Government Code §2254 at: http://tlo2.tlc.state.tx.us/statutes/gv.toc.htm. The table below is provided to assist in making the appropriate choice in selection of a procurement method. As a reminder, agencies should first refer to any applicable statutory requirements which may direct them to use a specific procurement method. Procurement Method Use When Advantages Disadvantages Competitive Bids (Invitation for Bids) Competitive Proposals (Request for Proposals, Request for Offer) Lots of competition exists. The product or service is available from more than one source. When factors other than price are evaluated. When negotiations are desired. Vendor is expected to provide innovative ideas. Award process is simpler. Award is made to the lowest responsive, responsible bidder providing the best value to the State. Allows factors other than price to be considered. Allows for customized proposals suggesting different approaches to the same business need. Allows for negotiations in order to obtain the best 19 Defined specifications may be difficult to develop. Does not encourage innovative solutions. Lead times for procurement are much greater. Evaluations are more complex and subjective.
Procurement Method Use When Advantages Disadvantages Request for Information There is insufficient information to write specifications for any procurement method. Request for Qualifications [This method is usually required by statute (e.g. Professional Services)] Selection is made solely on the skills and qualifications of the contractor. Price is not a factor until after a vendor is selected. value for the state. Provides information to prepare a complete bid or proposal document. Allows the business community to have input into the agency’s solicitation document based on current industry practices and market factors. Informs agency of any potential problems early in the procurement. Emphasizes the competency of the proposed contractors. 20 Lengthens the procurement process. Contractor is selected before price is negotiated. Exemptions Some purchases may be exempt from competitive bidding. Some examples are provided below. Additionally, agencies may be exempt from CPA authority based on their own enabling legislation. For example, the Texas Department of Transportation’s enabling legislation exempts highway construction from CPA oversight. • Emergency purchases. Emergencies occur as the result of unforeseeable circumstances and may require an immediate response to avert an actual or potential public threat. If a situation arises in which compliance with normal procurement practice is impracticable or contrary to the public interest an emergency purchase may be warranted to prevent a hazard to life, health, safety, welfare, property or to avoid undue additional cost to the state. Agencies may have specific rules or policies pertaining to emergency purchases. See the State of Texas Procurement Manual for more information on Emergency Purchases (http://www.cpa.state.tx.us/procurement/pub/manual/2-18.pdf). • Proprietary Purchases. Proprietary purchases are required to comply with Texas Government Code, Section 2155.083; Electronic State Business Daily posting requirements for procurements estimated to exceed $25,000 in value. Additionally, a product or service is proprietary if it has a distinctive feature or characteristic that is not shared or provided by competing companies or similar products or services. When the specification requirement limits consideration to one manufacturer, one product, or one service provider, a written justification must be provided and is subject to review by CPA. Proprietary purchases should be placed on CPA’s Electronic State Business Daily; this provides transparency to the process and gives the entire vendor community the ability to view the specifications and provide de facto agreement to its proprietary nature by not responding. See the State of Texas Procurement Manual for more information on Proprietary Purchases (http://www.cpa.state.tx.us/procurement/pub/manual/2-21.pdf).
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 14 and 15: (2) all direct or indirect pecuniar
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 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
Page 64 and 65: � Contract value and complexity;
Page 66 and 67: Consider the effect that the contra
Page 68 and 69: importance of the contract to the c
Page 70 and 71: Below is a sample risk assessment.
Page 72 and 73:
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
Page 78 and 79:
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
Page 92 and 93:
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
Page 100 and 101:
EXHIBIT A to RFP No. ______ HUB SUB
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Enter your company’s name here: S
Page 104 and 105:
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
Page 150 and 151:
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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