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Contract Management – New Developments

University Managers Group18th June 2009

Kimberley HeitmanDirector of Legal Services

and University Lawyer

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Contract Management – New Developments

•Affiliations generally

•Procurement – Tendering and Procurement Toolkit

•International Alliances – Process and Record Keeping

•Scholarships – New streamlined procedures

•Consultancies – T&Cs and New HR forms and process

•Research Contracts – Quick sign-offs

•Research Centres – Establishment Files

•Audit and Risk Review

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Affiliations

• Review by Legal Services Office in February 2009 showed “official” Statute 13 Affiliates of the University. There were two. Many obvious research partners don’t have current Statute 13 agreements

• Only official Affiliates get under the UWA umbrella

• Official Affiliates comprise Statute 13 Affiliates, the University Colleges and Joint Venturers under a current Centre Agreement (to the extent the Centre Agreement confers privileges on the JV partner)

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Procurement

• External Consultants and UWA Strategic Procurement Office have developed new tools for purchasing goods and services including checklists, templates and procedure guides

• New Terms and Conditions for Purchase Orders

• Much greater use of University and WA State Government preferred supplier arrangements

• Strict transparency in tendering for large procurements

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International Alliances

• New “Standard Operating Procedure for New Agreements and Memoranda of Understanding” developed by Eva Chye in Vice-Chancellery in consultation with International Centre and Legal Services.

• Purpose includes keeping agreements and MoUs renewed, recorded and searchable.

• Starts with Feasibility Study by proposer, and quick sign-offs by any relevant UWA office

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International Alliances

Stage 1:INITIATION

Stage 2:FEASIBILITY STUDY

Stage 3:AGREEMENT / MOU

Stage 4:IMPLEMENTATION

Agreement / MOU initiated by: (Name of

staff member)

Responsibility of implementation

(Name of School / Faculty)

Complete “Feasibility Study for New Cooperation Agreement”

(attached)

Final approval –* Research related agreements =

DVC(R)* Undergraduate teaching; Transnational; In-country

programs = PVC(E) + Academic Council

*Co-Tutelle; Double badge; Joint training; Joint PhD degree agreements = PVC(R&RT)

International Reference Group* Students exchange; Articulation

= International Centre* General MOUs = VC

International Reference Group

Internal – Draft Agreement prepared by Legal Services

Signatory – Determine appropriate signatory

Original signed Agreement / MOU +

Feasibility Study to be registered with

International Centre within 2 weeks of

signing

Copy lodged with relevant School /

Faculty

Responsibility of implementation (Name

of School / Faculty), including annual progress report

Protocol – Arrange signing ceremonies where

appropriate

Upon approval of Feasibility Study

First approval – Submit to Head of School / Dean

External – Staff coordinating / responsible for relationship to negotiate and

arrive at terms of Agreement / MOU with

partner institution

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Scholarships

• Scholarships Office, Governance Services, Office of Development and Legal Services – Template for the establishment of new Scholarships and Prizes

• Standardizing wording and rights of sponsors

• Standardizing rights and obligations of scholarship and prize recipients

• Keeping all the Offices in the loop and streamlining the management for the benefit of the sponsor and the student

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Consultancies

• Standard Terms and Conditions for Engagement of Consultants. Help available from Joyce D’Cruz in Strategic Procurement and Laura Ramstadius in Facilities Management.

• Clear division between staff consulting as UWA staff as opposed to personal consultancies

• No more School Consultancies. Centre consultancies depend on the Centre Agreement, but are usually UWA consultancies

• New HR forms for UWA staff acting as consultants as part of a UWA contract or in their personal capacity. Help from David Rogers in HR.

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Research Contracts

• Usual Process includes Budget – help available from Research Services and Financial Services

• Sign-off by Research Services, Office of Industry and Innovation and Legal Services prior to signature by DVCRI

• One-office approval for research contracts with:

– (a) Using University template– (b) Under $20,000– (c) No apparent risks

• Note: Group of Eight Research Funding Principles – Fed Govt, WA Dept Health, WA Dept Agriculture

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Research Centres – Recording Centre Establishment and Assisting Renewals

– Members of staff receiving or creating records (documents) relating to proposed new research centres will search in TRIM or contact Records Management Services to see if an establishment file exists for that centre.

– If the file does exist the file reference should be noted and recorded on all documentation relating to that centre and the documentation should be forwarded to RMS or the person holding the file so it can be placed on file.

– If the file does not exist then a new file request form will be submitted to RMS with the proposed file title:ESTABLISHMENT - PLANNING – Centres – [Name of Proposed Centre]

– RMS will create the file and forward it to the requestor. – All documentation can then be annotated with the file reference and placed on file

(RMS recommends that an email be sent to all assistants of staff involved in the development of the proposed centre notifying them regarding the file reference number).

– The file can then be held by the staff member who will ensure that all further documentation relating to the centre that accumulates is placed on file or the file can be returned to RMS and any further documentation can also be forwarded to RMS for filing.

– Once the Centre has been formally established (funded) an electronic Research Administration file will be created by the Research Grants Office. This file will be linked to the establishment file (which will then be closed) in TRIM.

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Audit and Risk Review

• What is the difference between a purchase order and a contract?

• Who can authorise and sign contracts?

• In June and July 2009, Internal Audit will be reviewing contract management, especially in terms of controls over contract preparation and sign-off.

• Audit and Risk will be reviewing consultancy arrangements late 2009 or early 2010

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Summary of Best Practice for Contract Management

• Use UWA Offices for advice and guidelines

• Use Legal Services to document agreements, not suppliers’ terms or old precedents

• Only use Purchase Orders for simple buys. Legal contracts and/or a procurement process for all but routine purchasing

• Propose and record new alliances, usually signed by the Vice-Chancellor

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Thank you – Any Questions?

Kimberley Heitman

kheitman@admin.uwa.edu.au Extension 1965