Contract Management Handbook
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The University of Texas System CONTRACT MANAGEMENT HANDBOOK The University of Texas System Administration Page 1 Contract Management Handbook (9-6-2019) TABLE OF CONTENTS Chapter 1 Introduction ..................................................................................................... 4 1.1 Purpose .................................................................................................. 4 1.2 Definitions .............................................................................................. 6 1.3 Acronyms ............................................................................................. 11 1.4 Training for Purchasing Personnel and Contract Managers ................ 12 1.5 Ethics Standards and Policies .............................................................. 13 1.6 Conflict of Interest ................................................................................ 15 1.7 New Ethics Requirements from Senate Bill 20 (2015) ......................... 17 1.8 Disclosure of Interested Parties ........................................................... 19 Chapter 2 Planning ......................................................................................................... 21 2.1 Contract Management Team ............................................................... 22 2.2 Communications Plan ......... 24 2.3 Determining Competitive Procurement Method ................................... 25 2.4 Planning for Contract Content .............................................................. 34 2.5 Information Security; Access to Electronic and Information Resources42 2.6 Record Retention ................................................................................. 43 Chapter 3 Preparing the Solicitation ............................................................................... 44 3.1 Historically Underutilized Business (HUB) Requirements .................... 45 3.2 Contract Term ...................................................................................... 46 3.3 Background Information ....................................................................... 47 3.4 Proposal Submission Requirements .................................................... 48 3.5 Evaluation of Proposals ....................................................................... 49 3.6 Solicitation Requirements .................................................................... 52 3.7 Payment Types .................................................................................... 58 Chapter 4 Publication of the Solicitation ......................................................................... 61 4.1 Advertising ........................................................................................... 61 4.2 Solicitation Announcements ................................................................. 62 4.3 Communication with Respondents ....................................................... 63 4.4 Written Questions ................................................................................. 64 4.5 Pre-Proposal Conferences ................................................................... 65 4.6 Solicitation Submission and Opening ................................................... 67 Chapter 5 Evaluation and Award .................................................................................... 68 5.1 Evaluation Guide .................................................................................. 68 5.2 Evaluation Team .................................................................................. 69 5.3 Scoring Matrix ...................................................................................... 70 5.4 Responsive Proposals ......................................................................... 71 5.5 Evaluation Team(s) Training ................................................................ 72 5.6 Single Responses ................................................................................ 73 5.7 Proposal Evaluation ............................................................................. 74 5.8 References ........................................................................................... 75 5.9 Oral Presentations/Discussions ........................................................... 76 5.10 Best and Final Offers ........................................................................... 77 5.11 Negotiations ......................................................................................... 78 5.12 Award ................................................................................................... 80 Chapter 6 Contract Formation ........................................................................................ 81 6.1 Approach to Contract Formation .......................................................... 82 6.2 Legal Elements of a Contract ............................................................... 83 6.3 Drafting the Contract ............................................................................ 85 6.4 Planning for Contract Preparation ........................................................ 86 6.5 Form of the Contract ............................................................................ 87 The University of Texas System Administration Page 2 Contract Management Handbook (9-6-2019) 6.6 Contract Terms .................................................................................... 88 6.7 State Contracting Standards/Oversight ................................................ 90 6.8 Authority to Sign Contracts .................................................................. 92 6.9 Required Check of Vendor Hold Status ............................................... 95 6.10 Execution of Institution Contracts ......................................................... 96 Chapter 7 Contract Administration .................................................................................. 97 7.1 Planning ............................................................................................... 98 7.2 Performance Monitoring ..................................................................... 105 7.3 Contract Reporting Obligations .......................................................... 110 7.4 Invoices and Payments ...................................................................... 111 7.5 Change Management Process ........................................................... 112 7.6 Dispute Resolution Process ............................................................... 115 7.7 Termination ........................................................................................ 116 7.8 Contract Close-Out ............................................................................ 119 Version History ........................................................................................................... 120 APPENDICES APPENDIX 1 Contract Management Best Practices Matrix APPENDIX 2 Summary of 2015 Procurement and Contracting Legislation APPENDIX 3 Sample Executive Approval Memo APPENDIX 4 Summary of UT Procurement Guidelines APPENDIX 5 Exclusive Acquisition Justification Form APPENDIX 6 Sample Non-Disclosure Statement APPENDIX 7 Sample Solicitation Announcement APPENDIX 8 Sample Pre-Proposal Conference Guidelines APPENDIX 9 Sample Proposal Score Sheet APPENDIX 10 Sample Administrative Review Checklist APPENDIX 11 Evaluation Team Guidelines and Purchasing Office Responsibilities APPENDIX 12 Sample Evaluation Team Written Instructions APPENDIX 13 Sample Reference Check Form APPENDIX 14 Sample Best Value Award Justification APPENDIX 15 Sample Contract Terms APPENDIX 16 Sample Contract Monitoring Worksheet APPENDIX 17 Sample Contract Close-Out Checklist APPENDIX 18 Group Purchasing Organization (GPO) Contract Submittal Form The University of Texas System Administration Page 3 Contract Management Handbook (9-6-2019) CHAPTER 1 INTRODUCTION 1.1 Purpose The purpose of this Contract Management Handbook (Handbook) is to offer contract managers, purchasing personnel and other administrators at University of Texas institutions recommendations on documenting existing contract management processes and practices in connection with the procurement of goods/services. This Handbook does not govern real estate transaction contracts (even if the transaction is a lease under which an Institution provides services in exchange for compensation), sponsorship agreements under which Institutions receive compensation is exchange for recognition of the sponsor, sponsored research contracts or other intellectual property agreements where Institutions convey an interest in intellectual property. Construction contracts are governed by separate statutory requirements and are also not addressed in this Handbook. However, this Handbook may provide helpful information useful in connection with contracts that are not governed by the Handbook. Use of this Handbook does not relieve Institutions and contractors of their responsibility to comply with Applicable Laws and University Rules related to specific programs and funding sources. For purposes of this Handbook, contract management includes the coordination and administration of four core processes: • Planning; • Procurement of goods or services (including complying with HUB laws and policies); • Contract Formation (including scope of work, specification of contract price or rate and other relevant terms and conditions); and • Contract Administration. The nature and level of risk associated