CTCD

Change Control

A process whereby modifications to documents, deliverables, or baselines associated with the project are identified, documented, approved, or rejected.

Post Employment Restrictions

2 yr for state employees, agencies may not enter into a contract with a former executive head or employer for 4 years after leaving the agency; reduces conflict of interest, and avoid appearance of impropriety

Scope of Work

A description of the products or services to be provided by the vendor, include responsibilities, evaluation of vendor performance, communication protocol, tailored to the business need, set deliverables and milestones

Contacts

A start and end date, include termination for non-appropriations, recommend max duration without reissuing a competitive solicitation 4-5 years

Legal Elements of a Contract

Offer, acceptance, legal purpose, consideration, certainty of subject matter, competent parties

NASPO concepts

Acquisition plan and quantity assessment plans

TXMAS

Adapts existing competitively awarded gov't contracts to service the needs of the state agencies and SMARTBUY members ; adapted with state laws. Professional and consulting services are offered as part of program. Negotiations are not allowed, order are made through SMARTBUY, offline sales, incidental or off schedule items

Quality Assurance Team QAT

Agencies are required to inform QAT of any MIRP solicitations; review partially executed MIRP contracts of $10m or more and amendments greater than 10% of the contact value

DIR under $50k

Agency can award directly to vendor

Conflict of interest form

Agency specific for employee

Appropriated funds may not be used for for the following unless the procurement falls under a statutory exception

Alcohol, indoor artificial or live plants, audit of financial records or accounts of an agency, memberships in or dues for professional organizations, private facilities for meetings, conferences, or exams

Contract close out processes

All goods and services are received and accepted, reports here been delivered and accepted, Administrative actions have been accomplished, agency equipment or materials have been returned, all property inventory and ownership issues are resolved including disposition of any equipment or licenses purchased under the contract, final acceptance from the project manager, final payment made to the vendor, and VPTS reported, lessons learned documents

VPTS over $5m

Annual reporting and at milestones- may not extend the contract until the applicable vendor performance have been submitted to VPTS

Acquisition Plan

Document solicitation process, assign roles and responsibilities, create a calendar of events, identify high risk items *required for MIRP's subject to QAT

Purchasing Authority Letter of Delegation

Letters must be obtained by SPD prior to posting on the ESBD; the letter and a copy of the posting must be included in the procurement file

Records Retention

As of 9/1/2015, all documents retained for 7 years at close of contract

Payment and pricing terms

Based on industry specific research, included in the solicitation with clear contractual parameters of how costs will be paid reimbursement methods, early payment, or invoice requirements

Score A

Best value criteria and fully complied with all contract terms, customer satisfaction

Score B

Best value criteria and fully with all material terms or promptly remedied any minor incidents of noncompliance, customer satisfaction

Score C

Best value criteria, remedied substantially, but adequate customer satisfaction

Evaluation criteria for award

Best value for state, essential quality or performance requirements, other factors are qualifications, experience or financial capabily

Vendor Selection

Bid Tabs, evaluation committee, preferences, best value

Bilateral Amendment

Both parties agree to change

Internal Calendar of Events

Budget, kick off meeting, solicitation draft, agency approval, (CAT, SPD reviews and delegations), solicitation issued, pre bid/offer/proposal, due date for questions, date to answer questions, response due date, vendor selection evaluation committee(RFO, RFP, RFQ), bid tab for IFB, Negotiation and contract formation, contract contract award, transition meeting from CD to CM, post award meeting w/ contractor, schedule, contract end date

Needs assessment

Business need

Contractors who do not fulfill the requirements of the contract or that are on corrective action plans must not be given a score higher than a

C

Contract administration team

CD, CM, End User, project manager, and legal

Post award contract conference

CM , contractor, agency stakeholders

Replacement contractor

CM responsibilities, keep the states interest in mind, perform due diligence

Constructive Change

Change in cost

Substantive Change

Change in price or delivery

Post award kick off meeting

Clear and mutual understanding of the t &c's and responsibilities

Benchmarking

Comparing a particular item, service, or process with other entities or an established industry standard, to obtain a measure that can be used to identify opportunities for improvement.

TEC Disclosure of Interested parties (1295)

Completed by vendor and submitted to TEC Texas Ethnics Commission for contracts over $1M

Procurement Oversight and Delegation Portal POD

Conducts solicitation reviews and delegates purchasing authority to state agencies for service solicitations valued over $100k; coordinates with oversight teams CAT and QAT

Solicitation Submission Requirements

Content, format, Due date and time, delivery address, container labeling, acceptable delivery method

Risk Factors

Contractors previous experience, past performance, dollar value, reimbursement methodology, acquisition complexity, interdependency on other contracts

Interagency Contract

Contracts between 2 agencies-competitive bidding is not required; written agreement authorized by a representative from both agencies, the IAC must specify the type and amount of services or resources to be provided. A basis for computing reimbursable costs and the max cost of contracts term

Substantial Conflict of Interest

Controlling interest in a company, owns 10% voting interest, owns 25% of fair market value, member of board of directors or other governing body, participating interest in stocks, shares, or otherwise; 10% of profits, proceeds, or capital gains; elected official; employee at business entity

Risk mitigation measures

Financial capacity, insurance, bonds, warranties, extended warranty or maintenance agreements, licenses or certification, limitation on liability, cyber security training

CM should periodically review

Corrective action has taken place, identify common problem areas that might require training, improve contract requirements for future requirements, ensure vendors maintain licenses and certifications throughout the life of the contract

Termination for Cause

Cure notices-letter to the contractor to correct the deficiency or violation within a time period usually 30 days Corrective Action Plan- possible renegotiate that would identify specific activities that must be preformed by the contractor to restore compliance- address the deficiency, state the desired outcome, and establish a time frame

Solicitation or SOW

Defines limits and identifies the products or services delivered under the contract. Should describe the products or services outside the scope of work

Solicitation receipt of responses

Delivery by mail, fax or other electronic system, responses opened in error or to confirm identification

Monitoring methods

Desk reviews (progress, status, activity, financial, vendor reports), site visit, monitoring by a 3rd party, enhanced contract and performance monitoring

Procurement Planning

Develop a needs assessment, cost estimate, and an acquisition plan. Purchase requisition

Acquisition Plan

Developed early in the solicitation stage and contract development (needs assessment, justification of solicitation procurement method, contract goals and objectives, and SOW)

Statewide Contract Development Team

Develops and administers statewide contracts representing thousands of line of products and services; develops term, managed, and TXMAS contracts; process open market requisitions on behalf of state agencies, universities, and TX SmartBuy members

Required disclosures and vendor compliance verifications

Disclosure of interested parties form, conflict of interest form, debarment check, Iran Sudan or foreign terrorist organization check, boycott Israel, Sam check, warrant or payment hold, franchise tax check

State Employee code of conduct

Do not accept any gifts or other employments that could influence work duties; accept any benefit for exercising your official duties in favor of another; make personal investments that create a substantial conflict

Score D

Do not meet best value criteria, substantial noncompliance with material contract terms failed to remedy a majority of those instances

Agency Procurement Plan

Due 11/30 annually; identifies the management controls and purchasing oversight authority in accordance with policy guidance

LBB reporting $100-$10m-all contracts

Due prior to 1st payment but no later than 30 days after contract execution

LBB reporting $100-$1m-non-competitive/sole source/ emergency

Due prior to 1st payment, but no later than 30 days after contract execution, Emergency purchases are due 48 hours after 1st payment

Agency Contract Management Procedures

Each agency must develop and comply with purchasing accountability and risk analysis procedures; post on agency website and send to SPD

Agency Contract Management Handbook

Each agency must publish a handbook that comply with purchasing accountability and risk analysis procedures; establish policies and procedures

Goods greater than $50k

Email Open market requisition to SPD

Goods greater the $50k

Email open market requisition to SPD

Preferences

Established by statute and must be claimed by the vendor by marking the appropriate preference on the solicitation

Administrative review of responses

Examination of each response, is it responsive, technical assistance, single response

Extension

Extended the term beyond the original solicitation contract terms, allows time to complete the service

Agencies and institutions of higher learning cannot extend the contract beyond the initial term + optional extensions unless all of the following are met

Extension is limited in duration and does not cost more than 1 additional extension period, as defined in the contract, if not 1 year, notice of extension is provided to LBB within 30 days, all required information and documents have been uploaded to the LBB database

Request for Proposal RFP

Factors other than price, competitive sealed proposals, negotiations are allowed, requirements are not detailed specifications, vendor is expected to provide innovative ideas

Benefits of a post award conference

Familiarity with the procurement process, smooth transition from CD to CM, roles and responsibilities are defined, insure the contract is set for success

Risk mitigation measures

Financial capability, insurance, surety bonds, warranties, extended warranty or maintenance agreement, limitations of liability clauses LOL

Non-Disclosure Agreement (NDA) form

For evaluation committee members, signed prior to receiving responses or committee activities

Informal Bidding

For purchases $5k-$25k, solicit in the CMBL 3 vendors 2 being HUB, IN THE NIGP class/item code, no negotiations - lowest bidder WINS

Effective change management process

Formal written approval prior to the change, evaluation of the impact of each change to the contracting objective, develop a plan for contingency allowances, document all changes, establish a single point of contact

Invitation for Bib IFB

Formal written competitive sealed bid method for procurement over $25k, clearly defined specifications, negotiations not allowed-unless only bidder- lowest bidder WINS

Funding Source

Funds used to pay the vendor, ie. general revenue, general revenue-dedicated accounts, federal funds, or other funds. The agency must comply with the laws and limitations applicable to the type of funding

End User

Gather requirements, support to both CD and CM, provides feedback on process change requests

Consanguinity 2nd Degree

Grandparents, grandchildren, brothers, and sisters

Request for Applications - RFA

Grants-include objective, guidelines, and limitations, specify evaluation criteria and other information needed to submit the application, agencies can refer to the UGMS-Uniform Grant Management System

Consanguinity 3rd degree

Great Grandparents, great grandchildren, nephews, nieces, aunts, and uncles

Technical Leveling

Helping respondents bring there responses up to par-against the law

Contract Level Risk Assessment

High level or overarching, identifies risk with each contract, identifies high risk contracts that may need extra attention and frequent monitoring

Post award external meeting

High risk or high dollar procurements, CD, CM, end user, and project manager

Unilateral Amendment

I sided change

Bid tabulations are for

IFB invitation for bids

Negotiations not permitted

IFB-exception is if there is only 1 bid

Major Information Resource Project MIRP

Identified by legislator or valued at $5m or more, a year or more to reach operational status, involves more than 1 agency, and significantly impacts the work processes of employees and how services are provided

Resolicite

If changes need to be made to the solicitation

Informal Budget Quotes

Informal and not a solicitation to obtain pricing information, care to not give the vendor a competitive advantage on future procurements

Market Research

Information related to vendor pool size, pricing, applicable industry standards, market trends, to determine if the item or service is readily available to the commercial marketplace. Online research, industry periodicals, and information from professional organizations, attendance at trade shows, discussions with other customers and consultations with industry representatives

Solicitation control responses

Internal procedures, cancellation of solicitation, late responses, withdrawal of responses

Circumstances where withholding payment may be necessary

Invoice errors, undocumented or unsupported costs, remediating overpayments to vendor, contractor performance is nonconforming or acceptable

No physical address, undocumented or unapproved credit or write offs, invoice for goods or services not rendered, payments have increased for no reason, multiple remitted addresses for the same vendor, inconsistent invoicing

Invoice red flags

Project Manager

Leads the planning and development of the projects deliverables, actively monitors progress and quality. Communicates project status, issues, risks to the chain of command and the CM and recommends corrective action if necessary..

Remedies

Liquidated damages, compensatory damages, restitution damages, or punitive damages

Statewide Contract Management Team

Manage, day to day contracts; manages term, managed, and TXMAS contracts; contract administration; reporting requirements; and vendor performance issues

Managed Term Contracts

Manually processing by the ordering entity, typically different pricing, require a quote based on discount % or scheduled deliveries and flexible delivery dates. PO is issued directly to the awarded vendor, the purchase cannot be made through the online ordering system

Deliverable

Measurable task or outcome

Internal Calendar of Events

Milestone dates of activities, pre and post solicitation, dates included

Needs Assessment

Must contain sufficient detail to identify a key business requirement, may conduct market research, historical spending, benchmarking, and request for information (RFI) from the vendor.

TXMAS contracts over $50k

Must obtain price quote from 3 TXMAS vendors

Contract Termination

Mutual agreement, for convenience (no fault), for cause, non-appropriation

NASPO

National association of state procurement officials

Solicitation overview

Needs assessment, justification, goals and objectives, solicitation/SOW, success factors, assumptions, constraints, risks, insurance and bonds

Contract Formation and Award

Negotiations, contract formation, contract award and amendment, contract award and notification

Administrative change

No change to the contract, address, payment assignment, names of key POC

F score

Not the best value criteria, Means the contractor did not fulfill the requirements of the contract and is in jeopardy of being debarred (fraud, misrepresentation, contract breach)

Potential Conflicts of Interest for procurement employees

Owns or controls interest in at least 1% in the business; could reasonably see a result of a financial benefit to the employee or official duties

Change Control

POCN or Contract Amendment

Consanguinity 1st Degree

Parents and children

Receipt of goods and services True and correct invoice

Payments are overdue on the 31st day after

CPA expenditure section audits state agencies for compliance with certain state laws and rules concerning

Payroll, travel, purchasing and procurement, processing requirements of CAPPS, USAS, USPS, AND SPRS

force majeure

Performance is suspended when the failure to preform is due to excusable causes Acts of God, public enemy, fires, floods, epidemics, strikes or freight embargo's, unusually severe weather

TX SMARTBUY

Portal used to buy non-IT goods and services; set aside programs, term contracts, managed contracts and TXMAS contracts are available here

TCI WAIVERS

Price, deliverability, specifications-form provided on comptrollers site

Request for Offer (RFO)

Primary method of purchasing automated information systems AIS, agency has obtained an exemption/approval from DIR/LBB, negotiations are not allowed, specific to IT procurements, cyber security and cloud services

Request for Qualifications (RFQ)

Professional qualifications or skills, subject to ESBD posting requirements and CAT review, price is not the initial factor

Descriptive Speculations

Provide principal physical, functional, or other characteristics that are essential to the minimum need of the business, do not include minimum or maximum characteristics, avoid name brand or steps to limit competition

Legal counsel

Provides legal advice for solicitations, including proper procurement method, contract terms and conditions. Assists the CD with drafting the solicitation. May prepare other instruments to support the contract like, templates, specialized t&c's. Negotiate t &c's and contract language as needed. Drafts and reviews leases, licenses, loan agreements, grants, IAC's and MOU's, interlocal agreements, consulting service agreements, legal service agreements, and professional service agreements.

TXMAS contracts under $50k

Purchase directly to TXMAS vendor

Term contracts

Purchase of goods and services in large quantities by several agencies, competitive bidding is not required, they are categorized by NIGP class/item codes

ESBD

Purchases over $25k must be posted Solicit for purchases over $25k

SAO Nepotism Form

Purchasing personnel for contracts over $1m

Proprietary Purchases

Purchasing where specifications or conditions of the proposed purchase are proprietary to 1 vendor and do not permit equivalent product or service to be supplied

State Use Exemptions

Quality, Quantity, Life Cycle, Deliverability- price is not an exemption-monthly exemption report to SPD

Vendor selection committees are for

RFP( request for proposal) , RFO (request for offers), RFQ (request for qualifications)

Negotiations are permitted:

RFP/RFO, DIR contract, consulting or professional services, sole source or proprietary purchases, emergency purchases

Justification of solicitation procurement method

Reason for IFB, RFO, RFP, RFQ

Reciprocal Preference Law

Resident State business then, Principal State based businesses

Restrictive Specifications

Reduce competition, don't inadvertently customize a product or service when drafting, could result in proprietary procurements

Consanguinity

Related by Blood

Contractor Name Change

Request in writing on new company letterhead

Contact Advisory Team

Review and make recommendations on solicitations that have an estimated value of at least $5m.; reviews recommendations and findings by the State Auditor; can take 30 days to complete the process

Transition from contract developer to management

Risk assessment and monitoring deliverables, change control, contract close out, vendor performance, record retention

Purchases $5-$25k

Search on the CMBL using the NIGP class and item codes, must solicit 3 vendors 2 being HUB

Service contracts over $100k

SPD delegates purchase authority and conducts solicitation reviews

Purchasing Authority

SPD purchasing authority is required for any procurement that is not delegated by rule or statute

Milestone

Scheduled event associated with a deliverable means to gauge progress

Contract manager

Serves as POC for contract communication for the agency. Manages state property used in the contract performance. Implements quality control and contract monitoring processes. Monitors the contract performance and progress and keeps timely records of all findings. Consults with legal to address any legal concerns. Manage, approves and documents any changes made through the amendment process, authorized by the terms of the contract. Inspect and approve products or services by submitting written documentation from the end user. Verify invoices and authorize payments under contract terms,. Monitor the contract budget. Identify and resolve disputes. Exercise state remedies. Maintains appropriate records in accordance with the records retention policy. Confirm all products or services have been delivered prior to contract expiration date. Preform contract close out process.

Purchases over $25k

Solicit all eligible vendors in the geographical region

Parts of the acquisition Plan

Solicitation overview, internal calendar of events, contract organization, specification requirements, special terms and conditions, payment structure, document files, change Control, contract close out

Deliverable level risk assessment

Specific to individual contract, each deliverable is assigned a risk level and monitored accordingly

Delegation by rule

Spot purchases, one time purchases of goods less than $50k, services purchases under $100k, direct publications, perishable goods, Distrubutor purchases, fuel, oil, grease, internal repairs, and emergency purchases

affinity

Spouse or related to spouse

Affinity 1st degree

Spouse parents, spouse children, children spouses

Affinity 2nd Degree

Spouses grandparents, grandchildren, brothers, sisters and their spouses

Revolving Tie Bid tiebreakers

State agriculture products, state products, state bidder, us products

Non-delegated procurement methods

State and Federal Surplus, set aside programs, Interagency Contracts, SPD Term Contract, SPD delegated by rule, SPD Review and delegation

Historical Analysis

Study an agency purchasing data, seek cost savings with consolidated purchases or diversity or areas of improvement for administrative efficiency

Evaluation Committee

Subject matter experts or persons with relevant expertise and knowledge, established prior to vendor proposals being due, use evaluation criteria and scoring matrix, insure all applicable forms (NDA, Conflicts of Interest)

Senate Bill 65

Subject to open records, maintained in electronic form, reviewed by procurement Director or designee

DIR over $50k-$1m

Submit pricing from 3 vendors, the category to which the contract relates

DIR $1m-$5m

Submit request for pricing from at least 6 vendors in the contract category

Services over $100k

Submit to procurement oversight and delegation portal POD

Set aside programs

TCI(TDCJ) or State Use(TWC, TPPD, OR WORKQUEST)

contract value

The initial value of the contract including any anticipated extensions and renewals for the contracts full existance

SAO coordinates with internal auditors and law enforcement to investigate waste, fraud, and abuse offenses. Types

Theft, Forgery, tampering with Gov. records, securing execution of document deception, conversion of funds, misapplication of fiduciary property, abuse of official capacity, gifts, bribery

Vendor Score

The score calculated by averaging all of the vendors report scores to provide an overall vendor score

Report score

The score the agency assigns for 1 particular report

Quality assessment plan

Tool used to assist the CM to clearly understand monitor, and mitigate risk during the administration of the contract (contract monitoring schedule and findings report) appropriate planning and risk assessment are components to successful contract management

A request can be submitted to LBB and is considered approved unless LBB issues a rejection in writing within 30 business days

True

The CM must assess if the option to renew a contract will be exercised prior to the contract term

True

Factors for post award conference

Type of contract, Risk level, value and complexity, urgency of delivery schedule, special or unusual contract requirements, contract length. Period of performance, or delivery requirements, procurement history and contractors expertise

External calendar of events

Vendor deliverables and milestone dates, due dates

Contractor business buyout

Verify SOS, business entity, insure they can still do the work

Renewal

When contractual parties have the option to renew the contract under another term

LBB Reporting $50-$100k-major information systems AIS

Within 10 days of award or modification

LBB Reporting to $50k-all contracts

Within 30 days of execution or modification

Contract Formation

Written contract documents the terms of the agreement to prevent misunderstandings or conflict creates a legal binding and enforceable obligation

Technical transfusion

disclosing technical info pertaining to a proposal that results in improvement of a competing proposal

VTPS over $25k

reports are required within 30 days of contract completion or termination

LBB reporting to $14k construction, professional or consulting services

within 10 days of award or modification