Coalition ses Contract manager roles and responsibilities 1. The contract manager is responsible for managing coalition contracts. a) The coalition has written policies that clearly delineate the responsibilities of the contract manager to enforce the contract terms and conditions in compliance with procurement procedures in ch. 287, F.S. Pre-site: Organizational chart; position description. b) The coalition has written operating procedures specifying the contract management system, including, but not limited to the review and approval of the contract documents, amendments and invoices (s. 287.057(13), F.S.). Pre-site: Provider contract template. On site: Provider and staff interviews. c) The contract manager presents contract status reports to the executive director and coalition board as established and/or requested by the board. Pre-site: Reports should include but are not limited to: 1) Utilization reports 2) Financial statements of contractor, including revenue/expenditures by line item and fund 3) Purchase pool partners and match report 4) Service delivery report, health related, family needs and resources 5) Sub-contract and service provider s staffing report 6) Appeal and grievance hearing for individuals/groups affected by the contracts 7) Provider meeting report 1
Coalition ses d) All coalition contracts and sub-contracts include and/or reference the following information: 1) Child care and service provider contracts contain the start and end dates as specified in the provider s contract agreement 2) Non-discrimination and equal opportunity assurance form, 29 CFR part 37 and 45 CFR part 80 3) Travel reimbursement 4) Governing law 5) Records and retention 6) Information and technology 7) Return of funds 8) Match funds 9) Insurance 10) Dispute resolution 11) Sub-contracting 12) Reporting requirements 13) Monitoring 14) Contract renewal/process/procedure 15) Invoicing and payment 16) Performance standards 17) Financial and compliance audit form 18) Payment rates Pre-site: Core contract template; sample contracts. On site: Staff interview. Contract Process 2. The coalition has policies and procedures to ensure that the awarding of a contract is fair, equitable and cost-effective and compliant with applicable laws and administrative rules. a) The contract manager has a master list of all providers denoting their contracted services and locations. Pre-site: Contract procedures; current master list. On site: Contract manager files. b) The contract manager s file for each contract is the current, official record for the coalition and includes two sub-files: the procurement manager's file and a contract file. Pre-site: Contract procedures. On site: Contract manager files. c) The contract manager s file is to be maintained for a period of three years following contract closeout or resolution of pending action (e.g., legal, audit, etc.), whichever is later. Pre-site: Contract procedures; dispute resolution procedure; documentation of dispute(s) within the fiscal year, if applicable. On site: Contract manager files. 2
Coalition ses d) For every approved contract, an authorized signatory has signed the following documents: 1) A conflict of interest document by all, including the contract manager 2) Certification regarding lobbying 3) Certification regarding debarment and suspension 4) Certification regarding drug-free workplace Pre-site: Core contract template. On site: Approved contracts. e) The contract file contains all documentation and information regarding the contract process. At a minimum, the following items should be included: 1) Signed copy of the OEL grant award to the coalition 2) Signed copy of contract 3) Proof of liability insurance 4) Workers compensation insurance and all bond guarantees that are required by the contract provision 5) Amendments 6) Correspondence 7) All approved invoices 8) A comprehensive payment log to show i. all advances paid to the provider ii. recovery of any advances iii. interest earned iv. reconciliation records 9) The contract file have the most recent independent audit as required by OMB Circular A-133 10) Monitoring report, correspondence and corrective action plans 11) Tracking data on performance measurements and deliverables 12) Reports as outlined in section #1d. Pre-site: Core contract template. On site: Approved contracts. Procurement 3. The coalition has policies and procedures to ensure effective and efficient procurement of commodities and services and is using these policies to ensure compliance with Chapter 287, F.S. a) The contract manager has the authority to procure for commodities and services in compliance with ch. 287, F.S. Pre-site: Position description; procurement policies and procedures. 3
Coalition ses b) The contract manager maintains thorough documentation with of the coalition s procurement process and policies. Pre-site: Contracting policies and procedures. c) Contract files contain all documentation (ch. 287, F.S.), and information regarding the provider selection process regardless of the procurement method. On site: Provider selection process, including: 1) Notice of award 2) Solicitation receipt log 3) Copies of the questions and responses to all inquiries 4) Documentation of any posting activities including documentation of all notices posted 5) Copies of protests received and documentation of their resolution 6) For competitive procurements, documentation listing the names of all individuals taking part in the development or selection of criteria for evaluation, the evaluation process, and the award process 7) A signed and completed Conflict of Interest Questionnaire from all individuals on the evaluation team who are taking part in the solicitation development and selection process 8) Proof of all legal advertising 9) Copy of the prospective vendor list (if applicable) 10) Copy of the solicitation document 11) Copies of solicitation responses received 12) Documentation of the solicitation response opening activities 13) Correspondence received pertaining to the solicitation 14) Copies of the evaluation team s scoring results 15) Documentation of the approval to use the selected procurement process 16) Approval of the board to award the contract recommended by the evaluation team 17) Small purchases under $2,500 have accompanying quotations or written records of telephone quotations Monitoring 4. The coalition has policies and procedures to monitor both administrative and programmatic aspects of all contracts. a) Coalition has developed a contract monitoring tool that will track the documented performance requirements in each service provider s contract. Pre-site: Monitoring tool. b) The coalition develops and publishes a master contract monitoring schedule. Pre-site: Master calendar. 4
Coalition ses c) At a minimum, monitoring includes the following actions: 1) Notification of providers at least 21 calendar days in advance of the scheduled on-site monitoring visit 2) A monitoring plan for the site visit 3) A tour of the facilities 4) The work schedule and time commitments 5) Meetings with staff and board members of the providers Pre-site: Calendar; notification to providers; site visit documentation. d) An independent audit of the central agency was performed in accordance with OMB Circular A- 133, s. 215.97, F.S. (Florida s Single Audit Act). Pre-site: Audit documentation, including any management letters. e) The service provider maintains basic financial data and documents (reflecting all revenues and expenditures of funds) in accordance with generally accepted accounting principles and practices. Pre-site: At a minimum, the following generally accepted accounting documentation should be validated: 1) Accounting ledgers 2) Records and documents (including electronically stored data) 3) Payroll tax returns and payroll registers for administration and program personnel, U.S. Form 941, Federal Quarterly Payroll Return and Unemployment Compensation Tax, I-9 Forms, and W-4 Forms are current and complete. f) The coalition and service provider (i.e., central agency) have an effective process for tracking and managing the core financial records/reports as required in the contract and or grant award. Pre-site: Core fiscal reports, including: 1) Operating budgets, financial statements, expenditure reports, and chart of accounts 2) Records of all sources of income 3) Disallowed costs 4) Process for recovering funds expended due to disallowed cost 5) Return of funds transactions 6) Reimbursements On site: Interview with contract manager. g) The coalition requires contracted service providers receiving contributions from governmental entities or special purpose units to document those matches. Pre-site: List of matching entities; record of annual matches. If there is any additional evidence of best practices for contracting, please provide it here. Please attach additional documents as necessary. 5
Coalition ses Methodology Pre-site: Audit documentation, including management letters Contract dispute resolution procedure Contract monitoring tool and master calendar Contracting procedures Contract status reports Core contract template Core fiscal reports Dispute resolution documentation within the fiscal year Funding match documentation Generally accepted accounting documentation Master list of contracts Notification of provider monitoring visits Organizational chart Position descriptions Procurement policies and procedures Sample contracts Site visit documentation for monitoring visits On site: Approved contracts Contract files and/or contract manager files Interviews with ED, providers and staff Provider selection documentation 6