{Agency Name} CONTRACT MONITORING TOOL SECTION 2 - CONTRACT DELIVERABLES, MILESTONES AND DUE DATES:

Transcription

1 {Agency Name} CONTRACT MONITORING TOOL This form has been developed to aid business unit contract managers to monitor current contracts and vendor performance. Please submit this form to Purchasing s Contract and Vendor Management unit on an annual basis. This monitoring tool may be used in future vendor performance tracking. SECTION 1 CONTRACT INFORMATION: Vendor Name: Contract No: Contract Title / Type of Service: Dept. Requesting Services: Contract Manager: Contract Manager: Vendor Point of Contact: Contract Term: Renewal Options Available: Contact Phone #: Contact Phone #: Contact Phone #: Total Contract Cost: SECTION 2 - CONTRACT DELIVERABLES, MILESTONES AND DUE DATES: ACTION/CONTRACT REQUIREMENTS (Insert Tasks and Deliverables from Contract and contract documents) DUE DATE/TIMEFRAME STATUS, DATE RECEIVED, PROVIDED, INITIATED OR COMPLETED (as appl.) Customer/Client/Agency Issues. Annual review YR 1 YR2 Contract Manager issues. Annual review YR 1 YR2 Annual review YR 1 YR2 Purchasing/CVM/CA issues. Business Unit contract file up to date. Annual review Page 1 of 5

2 CONTRACT REFERENCES (Insert references mentioned above needing additional clarification or too large for table) 2

3 SECTION 3 CURRENT CONTRACT PERFORMANCE RATING: Contract Review Date: [1st Year 2nd Year ] Quarterly Contract Performance Rating By BU Contract Manager Above Average Average Rating Scale Below Average Poor N/A 1. Product Quality (work products): 4 Points 3 Points 2 Points 1 Point 0 Points 2. Work Performance (staff performance): 3. Conformance with Agency Contract Requirements: 4. Deliverables and Tasks Completed on time: 5. Vendor exhibits strong project related cooperation: 6. QA/QC Conformance: 7. Contract administration cooperation: 8. Invoices and supporting documentation are accurate and supplied on time: 9. Other: Quarterly rating for this vendor/contract: Total Points: (out of maximum points of ) BU Contract Manager: Please provide comments and activities to cure deficiencies for any rating of below average or poor. Comments and/or Corrective Actions Required: 3

4 Definitions: Above Average: Products/Service delivered correctly, efficiently, timely and without excessive assistance or direction from Agency. Contractor performs beyond expectations. Services exceed standards. Project Manager is informed of project status regularly. Contractor resolves any problems that occurred. Contractor needs little or no direction. Contractor responsive to requests. Contractor suggests improvements. Average Contractor fulfills terms of contract; no more, no less. Services meet standards. Project is on time and within budget. Project Manager is informed of key milestones. Below Average: Contractor minimally or does not meet contract terms. Deliverables below standard or needs rework to comply. Project is behind schedule or over budget. Product/service required direction or assistance by Agency to produce. Poor: Contractor requires excessive guidance or direction. Contractor is unresponsive to requests. Contractor unable or unwilling to resolve minor setbacks. Services do not follow standards or does not meet requirements or expectations. Project is not on time or budget through no fault of Agency. N/A: Activity not applicable to this specific contract. 4

5 (INSERT CONTRACTED SERVICE) CUSTOMER SATISFACTION SURVEY Please indicate your level of agreement or disagreement with the following statements. Strongly Strongly Agree Disagree Business Unit Date Comments 5

6 CONTRACT AND VENDOR MANAGEMENT CONTRACT FILE REVIEW CHECKLIST DATE: Vendor Name: Contract # Contract Period: Contract Amount: Business Unit: Business Unit Contact: Contract Manager: Contract Administrator: New Contract Renewal Extension Amendment Amendment # Method of Procurement: RFP ITN ITB Single/Sole Source Emergency PO Procurement ID# Procurement Officer: Method of Payment: Fixed Price Cost Reimbursement Performance Based REQUIREMENTS YES NO N/A COMMENTS 1. Budget Review Committee or Project Value Proposition approval. 2. Completed Conflict of Interest Form(s) attached for Vendor and Agency Employees. 3. Non-disclosure agreements completed. 4. Procurement method identified correctly. 5. Copy of competitive solicitations attached. 6. Copy of winning bid/reply attached. 7. Vendor registration with Florida Department of State. (> $100K) 8. Purchase order/invoice or requisition documentation attached. 9. Required level of insurance provided. 10. Copy of consent agenda attached (>$100K) 11. Transfer Sheet completed and attached. 12. Agency name and address are correct. 13. Standard Terms and Conditions language included. 14. Contract Term Contract Start and End Dates complete. 15. No automatic renewal language. 16. Contract amount complete or Not to Exceed amount included.

7 CONTRACT AND VENDOR MANAGEMENT CONTRACT FILE REVIEW CHECKLIST REQUIREMENTS YES NO N/A COMMENTS 17. Specific contract deliverables, tasks and services included in contract. 18. Contract language does not require Agency to pay liquidated damages. 19. Performance Measures language included. 20. Contract contains cost saving language/measures. 21. Contract Manager specified/named in contract. 22. Vendor Point of Contact Information named in contract. 23. Signed by appropriate level authorized signatory. 24. All exhibits, attachments, and documents referenced in contract are attached. 25. Bond Documentation received. 26. Contract Monitoring Tool attached. 27. Calendar of deliverables/milestones attached. 28. Notices section (who receives legal notices) completed for both Agency and Vendor. 29. Letter of notification of executed contract attached. Monitor/Review Date: Monitor/Reviewer: Findings/Comments/Summary I certify that I have thoroughly reviewed the contract outlined on the attached document execution form and that all responses (YES, NO, or N/A) are accurate and based on documented proof. Purchasing-CVM Employee Signature Printed Name Date Title

8 CONTRACT RISK ASSESSMENT WORKSHEET Business Unit: Project Service(s): SERVICE RISK FACTORS 1 This is a new program or service, or a significant change to an existing service (within the last year). 2 Statement of Work is complex there are multiple components to the service to be provided. 3 Payment method to be used: Performance Based Fee for Service Cost Reimbursement 4 Contract will be/were awarded for this project utilizing: Competitive Procurement Non-competitive or Sole Source 5 Vendors for this/these services must maintain accreditation or licensure requirements. 6 Project has a high profile or negative press. 7 This project will represent a significant portion of Agency Operational objectives. 8 Project Maximum Amount: TBD $1,000,000 and above $500,000 to $999,999 $100,000 to $499,999 $50,000 to $99,999 $25,000 to $49,999 Below $25,000 9 Vendor will be allowed to subcontract key activities of this project. TOTAL PROJECT RISK SCORE Points (3) (3) (1) (3) (0) (5) (5) (6) (5) (4) (3) (1) (0) RISK VALUE RESPONSE STRATEGIES (Suggested Considerations for Risk Value Assignment) New programs or services may require early monitoring to ensure any technical assistance issues are addressed adequately. Complex programs or services may require early monitoring to ensure any technical assistance issues are addressed adequately. Performance Based Contract must include adequate reporting to ensure required performance is achieved. Fee for Services Reporting must include adequate tracking of services performed. Cost Reimbursement Contract must include language to track progress toward achievement of contract to ensure budget is not overspent in early stages. Contract must address the requirement and consequences if the accreditation or licensure is not maintained for the life of the contract. Determine the potential impact on Agency if a vendor does not meet their obligation. If subcontractors are allowed, identify in the contract the monitoring that the vendor must complete to ensure subcontractors are compliant with requirements. RISK LEVEL: HIGH (23 OR >) MEDIUM (13-22) LOW (0-12) Worksheet completed by: Signature: Date: Title:

9 CONTRACT RISK ASSESSMENT WORKSHEET Instructions 1. To be completed by Business Unit prior to competitive solicitation. 2. Identify risk factors that you know pertain to the project and enter corresponding number (in parenthesis) in the RISK VALUE column. 3. If no factors apply, leave the box empty; if you believe the risk value should be adjusted higher/lower enter that number and explain circumstances in comment section. 4. Add the risk value numbers and enter the total score in the red box Enter a total score of 0 if no factors applied. Using the scoring system, place an (X) in the appropriate box to indicate the level or risk. General Guidelines 1. A risk assessment worksheet is required for all projects. The worksheet is conducted as early in the process of development as possible; preferably prior to competitive solicitation. 2. Using the risk assessment worksheet prior to contract development is an effective screening/selection strategy for business units, and identifies unique risks that may be mitigated by the addition of Special Terms and Conditions. 3. In determining the risk value, the Contract and Vendor Management s Staff judgment may be a determining factor. If new factors are identified that do not appear on the list, use the Other Risk Factor space to explain. 4. While the risk level largely determines the type and frequency of monitoring, the contract type may also influence the monitoring method used. 5. Risk level ratings may be adjusted either up or down during the life of a contract. 6. Once the risk level is assigned, an appropriate monitoring schedule must be developed and implemented. Goals for Frequency of Review based on Risk Level are as follows: High risk contracts annually, Medium risk contracts every two years, and Low risk contracts every three years. 7. Each risk factor can be mitigated by some action or response, either before or after the contract is executed. This action or response can take the form of training, technical assistance, special contract requirements/conditions/limitations. 8. Regardless of a project risk level, staff is encouraged to provide technical assistance throughout the contracting process as an effective risk management strategy.