Texas Procurement Processes: A Guide to State Contracts and Regulations, Exams of Real Estate Management

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Statewide Procurement Division (SPD) - correct answer The central authority for state agencies for procurement guidance, education, statewide contract development services, and delegation of purchasing authority. Assists its statewide government customers with all stages of the procurement cycle. Policy and Outreach - correct answer Conducts policy research, training and certification customer service support services. Statewide Contract Development and Contract Management - correct answer A broad range of contracts for commodities and services. Contract Advisory Team-Review and Delegation (CAT-RAD) Program - correct answer Reviews solicitations and issues a letter of delegation of purchasing authority for an anticipated contract value of $100,000 or greater. Contract Advisory Team (CAT) - correct answer Consist of multiple agencies. Solicitations with a value greater than $1 million to $5 million. Centralized Master Bidder's List (CMBL) - correct answer Master database for Texas procurement professionals. No - correct answer Is a vendor required to be on CMBL to do business with the State of Texas? Historically Underutilized Business (HUB) Program - correct answer Provides opportunities to disadvantaged groups in an effort to remedy disparity in state procurement contracting. 11.2% - correct answer Heavy construction other than building contracts.

21.1% - correct answer Any building construction, including general contracts and operative builders contracts. 32.9% - correct answer All special trade construction contracts. 23.7% - correct answer Professional services contracts. 26.0% - correct answer All other service contracts 21.1% - correct answer Commodities contracts Office of Vehicle Fleet Management (OVFM) - correct answer Manages and assist agencies with their vehicles. State Travel Management Program (STMP) - correct answer Manages travel expenditures, including hotel, car rentals, airlines, and travel agencies. Statewide Mail Operations - correct answer Provides state agencies and universities a variety of mail operations services. Electronic State Business Daily (ESBD) - correct answer A web portal to post solicitations and learn of contract awards. Texas Smartbuy Online Ordering System - correct answer Statewide contracts procured and managed by SPD must use a purchase order through this system. Vendor Performance Tracking System (VPTS) - correct answer Use this statutorily required method of reporting vendors once contracts are completed. Texas Multiple Award Schedule (TXMAS) - correct answer Contracts to supplement the term contracts issued and negotiated by SPD.

Agency Procurement Plans - correct answer Due annually to the comptrollers office by Nov 30th. Collected for information on delegated purchases and determines if there are any possible gains with consolidating all the purchases together. Conflicts of Interest - correct answer The possibility of influence by a personal or financial interest, and the potential benefit to the employee is undefined. First Degree (Consanguinity) - correct answer Parent or Child Second Degree (Consanguinity) - correct answer Grandparent, grandchild, brother or sister Third Degree (Consanguinity) - correct answer Great grandparent, great grandchild, uncle or aunt, niece or nephew Nepotism - correct answer A form of conflict of interest that involves an explicit act of using one's position to favor a relative. Form must be completed if contract is $1M+. Disclosure of Interested Parties (1295 Form) - correct answer Monitors businesses whose agency has entered into a contractual agreement. Businesses with a contract of $1M in value are required to submit a what before entering into a contract? Bribery - correct answer An attempt to influence the decisions of a procurement professional through enticement with a potential personal benefit. Revolving Door Restrictions - correct answer Imposes employment restrictions that prohibit conduct that could potentially create conflicts of interest or even constitute an "under the radar" bribe. They serve the purpose of limiting undue influence on the outcomes of state contract awards. Vendor Communication - correct answer It is important to avoid the appearance of special favors when using public funds. All ________________ must cease once the solicitation-drafting process commences.

Suspected Fraud, Waste, or Abuse - correct answer All state agencies, colleges, and universities are required to report these and must have facts. Misuse is should be reported to State Auditors Office. (SAO) Contract Administration Plan (CAP) - correct answer Must be implemented early in the solicitation process and ultimately provided to the contract manager during the post-award kick-off meeting to ensure a smooth transition from the Contract Developers to contract manager. CAP Template - correct answer Template should include: project name, project award, completion date, justification of procurement method, deliverables, requirements, and security. Request for Proposals (RFP) - correct answer Recommended when factors other than price are considered or when objective criteria cannot be defined. Allows for negotiations between respondent and the issuing agency. Invitation For Bids (IFB) - correct answer Used when requirements are clearly defined, price is a major determining factor, and when products/commodities are highly standardized. Request For Offers (RFO) - correct answer Solicitation for automated information systems. Negotiations are allowed. Request for Qualifications (RFQ) - correct answer Professional Services: Respondents are evaluated based on qualifications and skills. Solicitation method is similar to an application process. Expectations of the vendor are clearly stated. Price is negotiated after the selection. Request For Applications (RFA) - correct answer Used for grant applications. Must include the grant objective, guidelines, limitations on spending or eligibility, and evaluation criteria. Inter-Agency Cooperation (IAC) Agreements - correct answer An agreement between two state agencies. Scope of Work - correct answer Clear specifications vs. Restrictive specifications, milestone, deliverables, reports, and performance requirements.

Warranties and maintenance agreements - correct answer These should be included in the solicitation and contract.. Remedies - correct answer Liquidated damages, compensatory damages, restitution damages, equitable remedies, punitive damages and normal damages are examples of what? Licensing and Certification Requirements - correct answer If service requires these they must be included in the solicitation. Vendors must be maintained throughout the contract. Managing Change - correct answer Solicitations should outline a process for change orders, amendments, and price adjustments and should already be in the contract. Contract Advisory Team (CAT) - correct answer Mandatory review solicitations worth $5M+. Quality Assurance Team (QAT) - correct answer Reviews technology projects proposed by state agencies. Solicitations are worth $1M or greater. Consists of representatives from the LBB, DIR, CPA, and SAO as an advisor. 14 Calendar Days - correct answer The solicitation package must be complete within how many days? 21 Calendar Days - correct answer The addendum to clarify information must be provided within how many days? Emergency Procurement - correct answer Minimum posting is waived. Texas Register - correct answer Solicitation for major consulting services must be published on this for at least 30 days prior to executing the contract. Negotiations Not Allowed - correct answer Competitive sealed bids (IFB) & State use program TIBH Industries (products only).

Negotiations Allowed - correct answer Competitive sealed proposals (RFP/RFO), Request for Qualification (RFQ), emergency, proprietary/sole source, Texas Multiple Award Contracts (TXMAS), state use program - TIBH Industries (services only). Contract Management - correct answer Consists of planning and communication. Process that facilitates: Monitoring, payment approval, Dispute Resolution, Tracking of Vendor Performance, and Close-Out. Planning - correct answer Partnerships, communication, expectations, define roles and responsibilities, post kick off meeting. Quality Assessment Plan (QAP) - correct answer Recommended template that will assist the Contract Manager in further assessing risk and monitoring of deliverables following contract execution. Risk Assessment Tools - correct answer Identify the risk associated with a contract. These consist of Contract Level Risk Assessment (CLRA) and Deliveralbe Level Risk Assessment (DLRA). Deliverable Level Risk Assessment (DLRA) - correct answer Specific to a contract. Monitoring reference tool that tracks deliverables due to be received from the contractor. Schedule Risk - correct answer Time or timeline related Financial Risk - correct answer Cost or value related Performance Risk - correct answer Service related Monitoring - correct answer Necessary to adequately check the progress, document trends, and ensure both parties are meeting the terms and conditions of the contract with service or commodity that is provided. Site Visits - correct answer Monitoring method used to check the progress of deliverables and to verify actual performance. Used to check the progress of deliverables.

Inspection and Acceptance - correct answer Inspect the delivery, were shipments delivered in error, compare items received with the purchase order for brand name and product number, inspect for minor visible damage, inspect for severe damage,pick up and return of shipments, inspect the internal receiving report, and partial shipment/ End-user and/or purchaser. Indirect Cost - correct answer Cost included under a contract that is not specific to the project. Withhold Payment - correct answer Instances such as breach of contract, invoice errors, vendor noncompliance, performance issues, undocumented cost, need to remedy over payments with vendor. Dispute Resolution - correct answer Corrective action plan that resolves all problems before escalation. Amendments - correct answer Must be in writing and signed by both parties. Change Orders - correct answer Agencies must have a well-defined process for these. For deliverable schedule, processes should be in place to extend the timeline or make up time. Price Adjustments - correct answer Allowed if the contract indicates a set maximum amount the contractor can increase the price must be established. Extensions - correct answer Extended term beyond the original solicitation renewal contract terms. Allows time needed to complete the services of the contract. Contract is going to expire and the new contract is not in place. Renewal - correct answer Contractual parties have the option to renew the contract for another term. Force Majeure - correct answer Failure to perform due to excusable causes such as acts of god, conditions outside the control of the contractor. Termination for Convenience - correct answer Also known as no-fault termination, allows the agency to terminate any contract, in who or in part, at any time in its sole discretion.

Termination for Cause - correct answer Occurs when the agency concludes that the contractor fails to perform, make progress, or in any way breaches contract. Contract Close-Out - correct answer Verify that both parties to the contract have fulfilled their contractual obligations. Vendor Performance Reporting - correct answer Must be reported for contracts valued at $25,000 or more which are completed or otherwise terminated. A - correct answer Score that should be given to vendors who met best value criteria and fully complied with the requirement of the contract with complete or substantial customer satisfaction. B - correct answer Score that should be given to vendors who met best value criteria and fully complied or promptly remedied any minor instance of noncompliance with the requirements of the contract with substantial or adequate customer satisfaction. C - correct answer Score that should be given to vendors who met best value criteria and substantially remedied a majority of the instances of non compliance with the requirements of the contract with adequate customer satisfaction. D - correct answer Score that should be given to vendors who did not meet best value criteria and was in substantial non compliance with the requirements of the contract and failed to remedy a majority of those instances of non compliance. F - correct answer Score that should be given to vendors who did not meet best value criteria and was in substantial non compliance with the requirement of the contract failed to remedy a majority of those instances of non compliance and displayed conduct which would be cause for debarment such as fraud material misrepresentation or contract breach. Report Score - correct answer The score an agency assigns for one particular report. Vendor Score - correct answer The score calculated by averaging all a vendors report scores.

Record Retention Period (Executed before September 1, 2015) - correct answer Contract documents are required to be kept for a period of AC+7 years. (After Close of contract +7 years). Phase 1 - correct answer Post payment audit phase that includes collecting information. Phase 2 - correct answer Post payment audit phase that includes field work. Phase 3 - correct answer Post payment audit phase that includes reporting. RFP - correct answer Request for Proposals IFB - correct answer Invitation For Bids RFO - correct answer Request for Offers RFQ - correct answer Request for Qualifications RFA - correct answer Request for Applications IAC - correct answer Inter-Agency Cooperation Agreements Contract Managers - correct answer Should be involved throughout the lifecycle of the procurement. Responsible for structuring and planning the necessary activities conducted post-award. Post-Award Meeting Attendees - correct answer Contract Developer, Contract Manager, End-User, Program Manager Post-Award Meeting - correct answer Contract managers start collecting and maintaining contractor performance documentation, monitoring process, and coordinating agency materials.

Contract Level Risk Assessment (CLRA) - correct answer High-Level/Overarching. Helps Contract Manager identify the risk(s) associated with each contract that is a part of the Contract Managers' workload. Helps identify high risk contracts that may need extra attention and frequent monitoring. Ways to Monitor - correct answer Site Visits, Reports, Communication (email, phone) Monitoring Reports - correct answer Tied to milestones concerning: Progress, Financials, and Vendor Performance. Progress Reports: Meeting Specific Milestones. Financial Reports: Financial Statements (Invoices, Timesheets, etc.). Vendor Performance Reports: Data reported by Contractor which then should be verified for accuracy. Invoicing - correct answer Payment Approval. Assignment of Contractor - correct answer Occurs when one party to a contract transfers its right under a contract to another party. Post-Payment Audits - correct answer Audits is comprised of three phases. Collecting of information, Fieldwork, and Reporting. Procurement Lead Time - correct answer Make sure enough time is allowd. Ways to Mitigate Risk - correct answer Warranties and Maintenance, Remedies, and Licensing and Certification Requirements. Consanguinity - correct answer Blood relative Affinity - correct answer Spouse's relative First Degree (Affinity) - correct answer Spouse, Spouse's Parents, Children's Spouses

Second Degree (Affinity) - correct answer Spouse's Grandparents, Spouse's Grandchildren, Spouse's Brothers & Sisters, Brothers & Sister's Spouses. Third Degree (Affinity) - correct answer Spouse's Great -grandparents, Spouses Great-grandchildren, Spouse's Uncles & Aunts, & Uncles & Aunts Spouses, Nephews & Nieces' Spouse. 2 Years - correct answer How long after the contract is signed or the procurement is terminated or withdrawn can can an officer or employee accept employment by the non-state agency party to that contract? 4 Years - correct answer How long after the potential contractor ceased being the executive head of a state agency., are state agencies prohibited from contracting with their former executive heads or with a person who employs a former executive head of any state agency? Substantial Conflict of Interest - correct answer Has a controlling interest in the business entity. Owns more than 10% of the voting interest in the business entity. Owns more than $25,000 of the fair market value of the business entity. Has a direct or indirect participating interest in shares, stock. Is a member of the board of directors or other governing board of business entity. Is an employee of the business entity. Public Procurement Professionals - correct answer Entrusted to uphold the highest ethical standards and be good stewards of public funds with every purchasing decision they make. Planning and Communication - correct answer A critical step in the successful management of contracts. Contract Developers - correct answer Facilitates the transition of documents and foundational knowledge of the solicitation and contract. Task to be Implemented - correct answer Contract manger is ensuring each task will be completed as the SOW requires. Inspection Intervals/Timeline - correct answer Provides the contract manager with a working timeline. Monitoring Method(s) - correct answer Provides key elements of monitoring for the contract manager.

Performance Evaluation and Assessment - correct answer Determines if the contract should include site visits, desk review, progress reports, and/or financial reports. Performance Approval - correct answer Should be in line with the terms and conditions of the contract as well as the responsibility for each activity that is supposed to be completed. Responsible Party - correct answer Assigns the activity to an individual or party to ensure activity occurs. File Maintenance - correct answer The specified records maintained in one complete master contract file. Planning Phase - correct answer Important in setting methods to properly manage the contract. Amount of Monitoring - correct answer Important and must be balanced and adequate to meet the need, but limited in type, scope, and frequency for sufficient desired results without unnecessarily increasing cost. Shipment Delivered in Error - correct answer May be refused by an agency once confirmed. 31st Day - correct answer A payment is considered overdue after the later of: (1) the receipt of the goods; (2) performance of the services; or (3) receipt of the invoice for the goods or services. Processing Payment - correct answer Making sure the contractor or vendor is paid for the service or commodity that was provided in order to uphold the contract. Avoid Dispute Resolution Escalations - correct answer Agency personnel must respond promptly to all contractor inquiries. Modification of a Contract - correct answer Must be initiated by the contract manager that involves the contract developer, end-user, and project manager. Takes place to adjust the assessments of the contract originally established.

Records Retention Schedule (RRS) - correct answer Used as a guide by the agency in creating and update its schedule. The periods giving are required minimums, but can be kept in use if justified. Record Retention Period (Executed after September 1, 2015) - correct answer Contract documents are required to be kept for a period of AC+4 years. (After Close of contract +7 years). State Record Cannot be Destroyed - correct answer If any litigation, claim, negotiation, audit, public information request, administration review, or other action involving the record is initiated. Fiscal Management Division - correct answer Performs post-payment audits of all state agencies. Procurement Professional - correct answer Any person who conducts purchasing, contract development, or contract management activities. Purchasing - correct answer The receipt and processing of requisitions, development of specifications, development of state of work, the issuance of purchase orders against existing cooperative or agency contracts, and the verification of the inspection of merchandise or receipt of services by the agency. Contract Development - correct answer Actions taken prior to contract execution, including the receipt and processing of requisitions, assessment of need, development and review of specifications, development and review of scopes of work, identification and selection of procurement methods, identification and preparation of evaluation criteria, preparation of and advertising solicitation documents, tabulation of respondent bids, evaluation of respondent proposals, negotiation of proposals, and the preparation and completion of contract award documents. HUB Report - correct answer A tool used to track expenditures and provide a standard point of reference concerning vendor utilization. Types of Risk - correct answer Schedule Risk, Financial Risk, Performance Risk

Invoicing Requirements - correct answer Procedures should be explained within the solicitation and include requirements to provide a description of the work or goods delivered in order for the agency to remit payment. Procurement Methods - correct answer Request for Proposal (RFP); Invitation For Bids (IFB) Request For Offers (RFO) - IT Procurement; Request For Qualifications (RFQ) - Professional Services; Request For Applications (RFA) - Grants; Inter-Agency Cooperation (IAC) Agreements Conflicts of Interest Types - correct answer Substantial, Financial, and Other Financial Conflict of Interest - correct answer If an employee or official owns or controls, directly or indirectly, an ownership interest of at least 1% in the person, including the right to share in profits, proceeds or capital gains; or could reasonably foresee that contract with the person could result in a financial benefit.