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Contract Documentation Checklist

The document is a checklist for documenting state agency contracts. It includes sections for documenting pre-contract considerations like funding availability, contractor selection criteria, risk assessments, contract provisions, monitoring plans, and post-contract follow up procedures. The checklist aims to help state agencies properly document all stages of the contracting process to ensure legal and financial compliance.

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aezacs
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1K views6 pages

Contract Documentation Checklist

The document is a checklist for documenting state agency contracts. It includes sections for documenting pre-contract considerations like funding availability, contractor selection criteria, risk assessments, contract provisions, monitoring plans, and post-contract follow up procedures. The checklist aims to help state agencies properly document all stages of the contracting process to ensure legal and financial compliance.

Uploaded by

aezacs
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF, TXT or read online on Scribd
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Contract Documentation Checklist

Contract Number: _____________________________

Contractor Name: ______________________________________________________

Contract Manager: ________________________________________________________

What services are being contracted?

Do state agency personnel typically perform them? Yes  No 

What type of contract is this?


 Service
 Good

Document the following pre-contract decisions:


 Funding Availability
 Type of Appropriation
 Cost/Benefit Analysis
 Available Public Resources
 Legal Constraints to Contracting
 Contracting with Current or Former State Employees
 Independent Contractor Relationship
 Fiscal Considerations (appropriate method of compensation and billing)
 Federally Funded Contracts (subrecipient or vendor)
 Audits (evaluate coverage provided by existing and anticipated audits)

Contractor Selection and Screening:


 Competitive procurement process was used?
 Were procedures sufficient to obtain an adequate number of responses?
 How broadly was the solicitation for proposals advertised?
 Were OMWBE firms afforded the maximum practical opportunity in the specific
procurement?

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Were appropriate contractor screening criteria and methods used? Consider the following
contractor standards:
 Appropriate experience, staffing, technical qualifications, and facilities;
 Able to comply with the proposed or required time of delivery or performance
schedule;
 Adequate administrative and financial capability for performance;
 Satisfactory record of integrity, judgment, and performance;
 Otherwise qualified and eligible to receive a contract under applicable laws and
regulations;
 Provided evidence of the appropriate licenses, registrations and certifications
that would apply to the specific contracted services;
 Non-competitive process was used?
 Explain reasons for selecting contractor(s);
 Sole source selection method was used?
 Explain reasons for selecting contractor(s).

Risk Assessment and Monitoring Plan:


 Were program and contractor risks assessed prior to entering into a contract?
 Does the risk assessment form the basis of the monitoring plan?
 Was the risk assessment used to determine the scope, frequency, and methods
of monitoring and/or auditing to be used to ensure sufficient oversight?

Contract Provisions:
Specifically review the contract for the following items:
 Is the scope of work clearly written and defined?
 Are amendments made in writing and executed prior to the expiration of the
original contract?
 Are performance measures required and do they satisfy statutorily mandated
outcomes?
 Are hold harmless and indemnification provisions included?
 Are liability and industrial insurance provisions adequate?
 Are remedies and sanctions provisions appropriate to safeguard the state’s
interests?
 Do contract termination provisions protect the state’s rights?

Contract Documentation Checklist Page 2 of 6


 Was an appropriate compensation method selected and identified in the
contract?
 Is coordination with other agencies an issue?

Technical Assistance:
 Will this contractor need technical assistance? What are the indicators?
 How will technical assistance be provided to the contractor?

Monitoring:
 Is there a monitoring plan in place? What monitoring activities are listed in your
plan?
 If corrective action is needed, is there a corrective action form your agency uses?
 If criminal activity is suspected, was it reported?

Post-Contract Follow up:


 Any activities need follow up?
 All invoices have been received and paid?
 Follow up on audit findings needed?
 Program objectives and outcomes have been evaluated/assessed?

Audits:
 Have audits been completed on this provider?
 What audit coverage is necessary to assure appropriate spending of state funds?
 Was a risk assessment completed to determine whether an audit is needed?
 Is corrective action necessary? Were questioned costs and audit findings
resolved?

Contract Documentation Checklist Page 3 of 6


Contract Documentation Form

Contracting Activity Comments


Contract Number:
Contractor Name:
Contract Manager:

Pre-Contract Considerations
Document the types of goods and/or services being
contracted. Are the goods and/or services provided or
performed by state agency personnel?
What type of contract is this? (Client service, direct-buy, etc.)
Document the following pre-contract decisions.
 Funding Availability
 Type of Appropriation
 Cost/Benefit Analysis
 Available Public Resources
 Legal Constraints to Contracting
 Contracting with Current or Former State Employees
 Independent Contractor Relationship
 Fiscal Considerations (appropriate method of
compensation and billing)
 Federally Funded Contracts (subrecipient or vendor)
 Audits (evaluate coverage provided by existing and
anticipated audits)

Contractor Selection and Screening

Document the decision to use a competitive procurement


process or whether a non-competitive, sole source selection
method was used.
For competitive process, were procedures sufficient to obtain
an adequate number of responses? How broadly was the
solicitation for proposals advertised?
Were OMWBE firms afforded the maximum practical
opportunity in the specific procurement?
Were appropriate contractor-screening criteria and methods
used? Consider the following contractor standards:
 Appropriate experience, staffing, technical qualifications,
and facilities.
 Able to comply with the proposed or required time of
delivery or performance schedule.
 Adequate administrative and financial capability for
performance.
 Satisfactory record of integrity, judgment, and
performance.
 Otherwise qualified and eligible to receive a contract under

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Contracting Activity Comments
applicable laws and regulations.
 Provided evidence of the appropriate licenses,
registrations and certifications that would apply to the
specific contracted services.

Risk Assessment and Monitoring Plan

Were the program and contractor risks assessed prior to


entering into a contract? The assessment should form the
basis of the monitoring plan.
Was the risk assessment used as the basis to determine the
scope, frequency, and methods of monitoring and/or auditing
to be used to ensure sufficient oversight?

Contract Provisions

Specifically review the contract for the following items:


 Is the scope of work clearly written and defined?
 Are amendments made in writing and executed prior to the
expiration of the original contract?
 Are performance measures required and do they satisfy
statutorily mandated outcomes?
 Are hold harmless and indemnification provisions
included?
 Are liability and industrial insurance provisions adequate?
 Are remedies and sanctions provisions appropriate to
safeguard the state’s interests?
 Do contract termination provisions protect the state’s
rights?
 Was an appropriate compensation method selected and
identified in the contract?
 Does the contract specify that payment will not be made
for the same or similar services for the same client more
than once (no duplicate payments)?

Technical Assistance

Will this contractor need technical assistance? What are the


indicators?
How will technical assistance be provided to the contractor?

Monitoring

Is there a monitoring plan in place? What monitoring activities


are listed in your plan?
If corrective action is needed, is there a corrective action form
your agency uses?
If criminal activity is suspected, was it reported?

Contract Documentation Form Page 5 of 6


Contracting Activity Comments

Post-Contract Follow-up Procedures

Any activities need follow up?


All invoices have been received and paid?
Follow up on audit findings needed?
Program objectives and outcomes have been
evaluated/assessed?

Audits

Have audits been completed on this provider?


What audit coverage is necessary to assure appropriate
spending of state funds?
Was a risk assessment completed to determine whether an
audit is needed?
Is corrective action necessary? Were questions costs
resolved?
Are audit findings resolved?

Contract Documentation Form Page 6 of 6

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