Professional Documents
Culture Documents
6 Protests................................................................................................143
7 Contract Negotiations, Ethics, and Conflicts of Interest .....................161
8 Contract Document ............................................................................187
9 Contract Terms and Conditions .........................................................205
10 Short Form Contracts, Short Form RFPs, Emergencies and
Letter Contracts ..................................................................................235
Index ............................................................................................................467
Tables
Table 1.1 Best Practices in Contracting for Services ....................................9
Table 1.2 Topics Included in Advance Contract Planning ........................16
Table 3.1 Comparison between Types of Solicitations ..............................61
Table 3.2 Proposal Evaluation Criteria and Criteria Weighting.................82
Table 5.1 Assignment of Scores Based on a Scale of 1–10.......................127
Table 5.2 Assignment of Scores Based on Specific Adjectives ..................128
Table 5.3 Assignment of Scores Based on Color Codes ...........................129
Table 5.4 Assignment of Scores Based on Narrative Descriptions ...........130
Table 5.5 Superiority of 70–100 Scoring Scale for Subjectively
Rated Criteria ..........................................................................131
Table 5.6 Addition to the RFP Advising Prospective Contractors
of the Use of Weighted Criteria...............................................132
Table 5.7 Assignment of Scores Based on the TWS Process ....................132
Table 5.8 Format for Combined Weighed Scores....................................136
Table 5.9 Average or Consensus Scores ...................................................137
Table 5.10 Weighed Scores and Contractor Pricing ..................................138
Table 5.11 Grand Total Scores..................................................................140
Table 9.1 Incidence of Inclusion of Provisions in State and Local
Government Terms and Conditions ........................................206
Table 12.1 Summary of Price Changes......................................................277
Table B.1 Incidence of Inclusion of Provisions in State and Local
Government Terms and Conditions ........................................334
Table B.2 Description of Proposal Scoring Methods in RFP ...................344
Table B.3 Responses to Question Regarding Description of Process
for Filing Protests in RFP ........................................................348
Table C.1 Proposal Evaluation Criteria and Criteria Weighting...............358
Table E.1 Present Formulas Anomaly Depicted in Percentages................409
Table E.2 Weighed Scores with Anomalous Subjective Formula .............411
Table E.3 Weighed Scores with Recommended Subjective Formula........411
xiv Tables and Figures
Figures
Figure 3.1 RFP Cover Page.........................................................................63
Figure 3.2 Table of Contents......................................................................64
Figure 8.1 Model Services Contract Variable Information Table..............196
Figure 8.2 Example of Poorly Crafted Scope of Work..............................201
Figure 8.3 Corrected Version of Same Scope of Work .............................202
Figure 9.1 Model Services Contract Variable Information Table..............209
Figure 10.1 Meetings/Milestones/Deliverables ............................................242
Figure 10.2 Short Form Contract Amendment...........................................244
Figure 11.1 Contract Review and Execution...............................................257
Figure 12.1 Estimate at Completion ...........................................................275
Figure 12.2 Contract Amendment ..............................................................280
Figure B.1 Research Project Cover Letter..................................................313
Figure B.2 2015 Government Contracting Best-Practices
Questionnaire ..........................................................................314
Figure B.3 Model Services Contract Variable Information Table..............339
Figure C.1 Life Cycle Cost Proposal Format .............................................364
Figure D.1 Model Services Contract Variable Information Table..............380
Figure D.2 Account Information ...............................................................385
Figure D.3 Exhibit I—Contractor/Agency Meeting Schedule....................386
Figure D.4 Exhibit II—Project Milestone Schedule...................................387
Figure D.5 Exhibit III—Contract Reports and Other Deliverables ...........387
Figure E.1 Present Formulas Anomaly Depicted Graphically....................410
Figure F.1 Estimate at Completion ...........................................................413
Figure G.1 Sole Source Justification/Approval Form .................................416
Figure H.1 Reference Checklist..................................................................419
Figure I.1 Short Form RFP Cover Sheet ..................................................422
Figure I.2 Short Form RFP Life Cycle Cost Proposal Format..................432
Figure I.3 Short Form RFP Model Services Contract Variable
Information Table ...................................................................434
Figure I.4 Short Form RFP Account Information....................................439
Figure I.5 Short Form RFP Exhibit I—Contractor/Agency Meeting
Schedule...................................................................................440
Figure I.6 Short Form RFP Exhibit II—Project Milestone Schedule .......441
Figure I.7 Short Form RFP Exhibit III—Contract Reports and
Other Deliverables ...................................................................441
Figure J.1 Source Selection Evaluation Team Criterion Rating................452
Figure K.1 Graphic Depiction of Criterion with Optimal Value...............455
Figure K.2 Graphic Depiction of Criterion with Suboptimal Value..........455
Figure N.1 Contract Amendment ..............................................................462
Figure O.1 Short Form Contract Amendment...........................................464
Figure P.1 Contractor Performance Report...............................................466
Preface
The objective of the second edition of this book project is to continue the
availability of best-practices document templates and contracting methodologies
obtained through a survey of present practices and a review of documents
presently employed by state and local government agencies. The principal
documents that were developed were a Request for Proposals (RFP) and a Model
Services Contract (MSC) based on best practices in state and local government
agencies. The templates are available for use by all state and local governments.
A second best-practices questionnaire was sent in 2015 to all fifty states, the
fifty largest cities in the United States, and 123 other government agencies. The
response from the states was down slightly from the original 2006 questionnaire.
The response in 2015 from large cities, however, was fivefold the response to
the 2006 questionnaire. The response rate from other local government agencies
continued at the disappointing rate of the 2006 questionnaire. The number of
states and local government agencies participating in the most recent best-
practices survey totals thirty-two compared to merely twenty-three participants
in the 2006 project. The improvement in the rate implementing best practices
from 2006 to 2015 by state and local government agencies is also gratifying.
The increased rate of adopting contracting best practices vindicates the
observation, made in the book’s first edition, that the overwhelming majority
of state and local government contracting officials strive to serve the public both
professionally and ethically.
A significant improvement in the process for scoring proposals in response
to RFPs is reflected in this second edition. The recommended process is similar
to the practices of seventy-nine percent of the states and cities responding to the
2015 best-practices research project. It was noted during the 2015 research
project, however, that a significant number of the states and cities were using
two formulas for weighing the scores that contained slight anomalies. Proofs of
the anomalies are provided and corrected formulas are recommended in this
second edition for weighing the scores assigned to proposals.
While one might presume that this project was intended solely for the bene-
fit of contracting professionals, that notion would be based on the assumption
that only contracting professionals are involved in contract management activities.
xvi Preface
This notion, however, is not necessarily applicable in state and local government.
These government agencies often maintain a relatively small central contracting
function staffed by professionals who assist department personnel in contracting
matters. Therefore, there are numerous agency employees whose primary func-
tion and expertise are in fields other than contracting, but who are called upon
to participate in the drafting of solicitations, writing sole source justifications,
writing scopes of work, serving on advance contract planning and source selection
teams, recommending award of contracts and assisting in the management of
those contracts.
There are others, in addition to contracting professionals and functional
department personnel who participate in contracting activities, who can benefit
from the document templates and contracting methodologies developed through
this project. Board or council members of governing or legislative bodies, chief
elected and appointed officials and their ranking staff members, as well as agency
financial and legal counsel staff members have considerable exposure to and
responsibility for agency contracts.
The templates developed during the course of this project, described and/or
contained in this book, and available online to readers, are intended for the
benefit of state and local government agency contracting professionals as well as
the other agency officials and employees, mentioned above, who also participate
in the contracting function.
The vast number of existing local government agencies, including counties,
cities, school boards, universities, and special districts, made it impossible to
request participation from every local government agency. Because it was
impossible to invite all local government agencies to participate, and because all
states would be invited to participate in this project, it was decided to limit the
invitation for local government project participation to the fifty largest US cities
and to a select sample of other local government agencies. The 123 local
government contracting professionals selected for participation in the 2015 best-
practices questionnaire were gleaned from membership rosters belonging to
professional government contracting associations. The invitations to participate
in the 2015 questionnaire were sent to the governors of all fifty states with copies
to the chief procurement official, the mayors of the fifty largest cities with copies
to the chief procurement official, and directly to the 123 procurement
professionals from other local government agencies.
All state and government agencies are encouraged to adopt the best practices,
described herein, that are made available through the generosity of contracting
professionals throughout the United States.
I wish to acknowledge the support from the states, large cities, and other local
government agencies, named below, that participated in the project to develop
a best-practices Model Services Contract (MSC) and a best-practices Request
for Proposals (RFP). The documents developed through this project are based
on best practices found in the participating state and local government agencies.
Both documents are included in the book’s appendices, and access to these
documents is available online. This book provides a discussion of the resultant
best-practices MSC and RFP as well as other recommended contracting best-
practices and contract management tools.
This acknowledgment is an expression of sincere gratitude extended to those
participating agencies that responded to the 2015 best-practices questionnaire:
STATES CITIES
NCMA Professional Standards and Ethics Committee for four years. Mr. Curry
was on the Board of Directors for the Industry Council for Small Business
Development (ICSBD): a not-for-profit corporation established to assist small,
small disadvantaged, and women-owned small businesses. He held various elected
offices within the ICSBD including President. Mr. Curry is a member of the
American Society for Public Administration (ASPA), Text and Academic Authors
Association (TAA), National Institute for Governmental Purchasing (NIGP), and
the California Association of Public Procurement Officials (CAPPO) for which
he also wrote and presented professional development papers.
Chapter 1
Chapter Objectives
The objectives of this first chapter are to introduce the reader to services contract-
ing for state and local government agencies, and to explain the characteristics of
the contracting cycle and the processes involved in advance contract planning.
The specific topics that are presented to the readers are:
1.1 Introduction
There are numerous references to terminology used in the field of contract
management that begin in Chapter 1 and continue to be introduced throughout
the entire text. The terms are defined as they are introduced to readers. However,
in recognition of the need for readers to refresh their understanding of these
terms when the terms appear in subsequent chapters, the definitions are provided
in alphabetical order in Appendix A, Glossary of Terms.
To demonstrate how state and local government agencies will benefit through
the establishment of professional contracting standards and procedures such as
those presented in this text, a scenario involving the award of a contract featuring
problems that can be encountered in the absence of standards and professionalism
will be presented. The following is not an actual case; however, it is a composite
case that includes decadent practices found in several actual cases.
Contractor Alpha approached a departmental employee at a government
contracting agency with a proposal to provide certain services to the agency. The
state procurement code, which also applied to local government agencies,
included an exception to the competitive contracting rules for that particular
service. The proposal provided for the compensation of millions of dollars to
the contractor over the course of the multi-year contract. However, the
government agency would realize an increase in revenues resulting in a payback
of their investment within five years. The proposal also promised a positive net
revenue stream to the agency over the life of the project.
The departmental employee, however, was reluctant to bring the proposal
forward to the agency officials that had authority to award the contract.
Contractor Alpha presented numerous arguments to the departmental em-
ployee in favor of the project, including a five-day all-expenses-paid trip,
occasionally referred to as a “boondoggle,” to another government agency
that had implemented a similar project. The departmental employee was also
offered additional benefits if he would support their proposal and present it
to the decision makers. The government contractor that implemented the
similar project was in a location that was several thousand miles distant from
the contracting agency, but adjacent to a popular tourist attraction.
The departmental employee finally agreed to present the proposal to the
agency officials with authority to award the contract. A competing contractor
hired an employee from Contractor Alpha who then alerted Alpha’s competitor
to the sole source contract that was being proposed to the contracting agency
officials. Alpha’s competitor approached the departmental employee with a
The Contracting Cycle and Advance Contract Planning 3
Illustrator: J. H. Hartley
Language: English
ENGLISH NURSERY
RHYMES.
SONGS FROM
ALICE IN
WONDERLAND
AND
THROUGH THE
LOOKING-GLASS.
Words by LEWIS CARROLL.
Music by LUCY E. BROADWOOD.
Illustrations by CHARLES
FOLKARD.
Containing 12 full-page
illustrations in colour, decorative
borders, and many small
illustrations. Demy 4to, cloth.
HARMONISED BY
LUCY E. BROADWOOD
ILLUSTRATED BY
J.H. HARTLEY
CONTENTS
PAGE
GOOD KING WENCESLAS 12
AS JOSEPH WAS A-WALKING 14
CHRISTMAS DAY IN THE MORNING 15
GOD REST YOU MERRY, GENTLEMEN 16
THE HOLY WELL 18
THE FIRST NOWELL 20
THE CHERRY TREE CAROL 23
DIVES AND LAZARUS 24
THE HOLLY AND THE IVY 25
A VIRGIN MOST PURE 26
THE WASSAIL SONG. Part I. 28
THE WASSAIL SONG. Part II. 29
THE BOAR’S HEAD CAROL 30
ALL THAT ARE TO MIRTH INCLINED 33
KING PHARAOH: Part I. The Miracle of the Cock 34
KING PHARAOH: Part II. The Miraculous Harvest 37
THE BLACK DECREE 38
SOMERSETSHIRE WASSAIL 40
A CHILD THIS DAY IS BORN 43
THE MOON SHINES BRIGHT 44
A CAROL FOR TWELFTH DAY 47
THE LORD AT FIRST DID ADAM MAKE 48
THE SEVEN JOYS OF MARY 50
THE SUSSEX MUMMERS’ CAROL 52
AS I SAT ON A SUNNY BANK 53
PACE-EGGING SONG 54
I’VE BEEN RAMBLING ALL THE NIGHT 57
GOOD CHRISTIAN MEN, REJOICE 58
ILLUSTRATIONS IN COLOUR
BY
J.H. HARTLEY