The U.S. Equal Employment Opportunity Commission
Contract Monitor's Duties and
Responsibilities
Contents
- Definition of Contracting Officer
- Definition of Contract Monitor
- Responsibilities of Contract
Monitor
- Duties of Contract Monitor
- Procedures
- Reports
- Reviews
- Modifications
Appendix 1: Form 112,
Delivery Receipt
Appendix 2: EEOC Form 123, Requisition for
Supplies, Equipment, Services, Furniture
Appendix 3: Standard Form 30, Amendment of
Solicitation/Modification of Contract
Contract Monitor's Duties and Responsibilities1
One of the most important aspects of the procurement process
occurs after the actual award of a contract; that is, the
monitoring of contracts that have been made by the
Government.
1. Definition of Contracting Officer
Contracting Officers are agents of the federal government
empowered to execute contracts and obligate government funds. The
Contracting Officer has authority delegated from the Chair or
Management Director according to Federal Acquisition Regulation
1.603. The Contracting Officer's authority is governed by
procurement law, executive orders, regulations and other
applicable procedures, clearances and approvals. Only a
Contracting Officer is authorized to obligate agency funds. The
EEOC's Contracting Officer is located in headquarters in the
Office of the Chief Financial Officer and Administrative
Services, Procurement Management Division (PMD).2 The Procurement Management Division Director
can be contacted to answer any questions regarding procurement
laws or regulations.
2. Definition of Contract Monitor
A Contract Monitor is a qualified technical representative
recommended by a Program Director for designation by the
Contracting Officer to a particular contract. A Contract Monitor
is EEOC's point of contact with the Contractor and as such has
specific responsibilities. Neither the Contract Monitor nor any other
OGC employee has the authority to obligate agency funds for any
purpose. A detailed description of the Contract Monitor's
responsibilities and duties is provided below. All questions
concerning the Contract Monitor's duties and responsibilities
should be directed to PMD, at (202) 663-4222.
3. Responsibilities of Contract Monitor
OGC in the past has experienced problems with monitoring
expert witness procurements. The areas of concern range from the
Contract Monitor's failure to request in a timely manner that the
Commission exercise its option to extend a period of performance,
to the unauthorized commitment of funds. Court imposed litigation
deadlines are never a sufficient reason for failing to follow
proper procurement procedures.
The Contract Monitor is responsible for the following:
- Reviewing and assuring the contractor's compliance with the
technical requirements of the contract, including providing the
Contractor with technical direction, which must remain within
the scope of the contract as it is written.
- Inspecting and certifying acceptability of the services
rendered throughout the period of performance in terms of
quantity, quality, timeliness and cost as these terms are
defined in the contract.
- Making sure that the Contractor is fully aware of the
following:
- (1) That the contract shall
not cover charges for any items that are not specifically
provided for by the contract. The Contractor is to be
cautioned that if he or she provides services/supplies
during the performance of the contract that are not
specifically set forth as priced items in the contract,
regardless of who requests them (including the Contract
Monitor), payment will not be made for them under the
contract;
- (2) That the Contractor must
notify the Contract Monitor when less than 20% of a
particular phase's funds remain unused, and when it is
necessary to obtain additional funds for a particular
phase.
- Ensuring that his or her supervisor is informed/consulted
when:
- (1) The Contractor reports
or materials are to be rejected;
- (2) The Contractor's
performance is not satisfactory or problems with the
contractor are anticipated;
- (3) The Contractor desires
to propose changes to the contract.
[Note: In the case of litigation support contracts for over
$25,000, the Deputy General Counsel and the Director, ATSS, must
be sent copies of all billing and contract-related information
provided to supervisors.]
4. Duties of Contract Monitor
The Contract Monitor acts on behalf of the Contracting Officer
by performing the following specific duties:
- Reviews and approves reports and all materials provided by
the Contractor as called for by the contract. Notifies the
Contracting Officer and Supervisor if reports or other items
submitted are to be rejected and states the basis for
rejection.
- Completes and forwards timely progress reports, and final
reports to the Contracting Officer.
- Certifies the Contractor's invoices for payment, including
any credit due the Government. This includes the authority to
request the Contractor to make corrections and/or submit new
invoices when clerical or other errors are detected.
[Note: The Prompt Payment Act requires notification to the
Contractor within 7 days of receipt of an invoice containing
errors, and suitable documentation of such notification.]
- Keeps detailed records of the Contractor's performance, and
if it is not satisfactory or if problems are anticipated,
notifies the Contracting Officer and supervisor, in writing, as
to the cause and recommends a course of action from a technical
standpoint. Immediate notification is essential to assure that
the Contracting Officer takes timely and appropriate action to
protect the Government's rights under the contract.
- Provides copies of all correspondence between the Contract
Monitor and the Contractor relating to contract issues to the
Contracting Officer and supervisor.
- Prepares memoranda for the record covering all
meetings/discussions between the Contract Monitor and the
Contractor and forwards copies to the Contracting Officer and
supervisor. It is critically important to keep the Contracting
Officer informed of the context of all communications with the
Contractor to prevent misunderstandings or situations that
could affect the contract terms or conditions and become the
basis of future claims against the Government.
- Advises the Contractor that in the event the Contractor
desires to propose a change, he or she should submit the
request in writing to the Contract Monitor and specifically
identify the effect that the proposed change(s) will have on
the terms of the contract (technically and/or monetarily). The
Contract Monitor will review the proposed change(s) and if he
or she agrees that the changes are necessary to achieve the
desired outcome, he or she will recommend to the Contracting
Officer and supervisor, in writing, that the proposed change(s)
should be incorporated into the contract.
- Assures that changes in work under the contract are not
implemented before written authorization or a contract
modification is issued by the Contracting Officer. Costs for
work performed may not be allowed if not authorized under the
contract. No change or commitment should be directed without
prior written authorization by the Contracting Officer.
- Recommends, in writing, to the Contracting Officer through
the supervisor any changes in the contract required by the
Government with detailed justification for the proposed
change.
- Makes site visits, when appropriate, to the Contractor's
facility and checks contractor performance to include:
- (1) Actual performance
versus scheduled and reported performance. The Contracting
Officer and supervisor should be informed of any adverse
conditions noted;
- (2) Changes in technical
performance which may affect the Contractor's financial
status, create personnel or labor difficulties, overextend
facilities, etc.;
- (3) Verification that the
employees charged to the contract are actually performing
work under the contract;
- (4) Verification that all
Government Furnished Property (GFP) is being used strictly
for the contract and that proper safeguards are in place to
protect all GFP from theft or damage.
- Ensures timely notification by the Contractor of any
anticipated overrun or underrun of the estimated cost under
cost-reimbursement contracts.
- Advises the Contracting Officer through the supervisor on
the status of the following at the completion of the contract:
- (1) Whether all articles and
services required to be furnished or performed under the
contract have been technically accepted;
- (2) The disposition of all
Government Furnished Property or materials;
- (3) Any other outstanding
technical issues.
- Prepares requests to (i) fund each contract phase, (ii)
obtain additional funding, if necessary, for each phase, and
(iii) exercise the option contained in most expert services
contract to extend the period of performance to ensure
successful completion of the expert's services. Before
extending the period of performance, the Contract Monitor
should confer with the Contractor to determine whether the
Contractor intends to exercise an option to increase his or her
hourly rates. If so, the Contract Monitor should request
additional funding to cover future rate increases. This request
shall include a document certifying that funds are available
and shall be submitted at least 90 days before the period of
performance expires.
- Although the Contracting Officer is ultimately responsible
for the following, the Contract Monitor shall also provide
technical support, when requested, in the following areas:
- (1) Approving premium
overtime;
- (2) Debriefing unsuccessful
offerors;
- (3) Resolving post-award
disputes/protests;
- (4) Resolving terminations
and claims;
- (5) Negotiating/issuing time
extensions;
- (6) Approving key personnel
changes;
- (7) Issuing suspensions/stop
work orders;
- (8) Assessing/approving
liquidated damages;
- (9) Negotiating/issuing
equitable adjustments;
- (10) Documenting/issuing
Contracting Officer's final decisions;
- (11) Preparing appeal
files;
- (12) Determining whether a
conflict of interest exists; and
- (13) Preparing
data/responses for audit/Congressional inquiries.
5. Procedures
The procedures to be used to inspect and accept the work of
the Contractor for conformance with terms of the contract are
determined by the Contract Monitor. If the goods or services are
acceptable, an EEOC Form 112, Delivery Receipt, should be
prepared immediately and forwarded to:
Financial Management Division
1801 L Street, N.W., Room 2005
Washington, D.C. 20507
A copy of the Form 112 should be sent to ATSS.3
An invoice cannot be paid without the delivery receipt. The
Prompt Payment Act requires agencies, in the absence of
contractually specified payment dates, to pay a proper invoice
within 30 days of initial receipt by PMD. OMB Circular A-125,
Prompt Payment, requires agencies to make payments as close as
possible to, but not later than, the due dates, or if approved,
the discount date. Payment will be based on receipt of proper
invoices and satisfactory performance of contract items. If an
agency takes a discount after the expiration of the discount
period or fails to make timely payment, interest penalties must
be paid from the funds available for the administration or
operation of the program for which the penalty was incurred. The
interest penalty must be paid whether the Contractor requests it
or not. If the goods or services are unacceptable, the
Contracting Officer must be contacted for instructions.
A copy of EEOC Form 112, Delivery Receipt, is appendix 1,
hereto.
6. Reports
Copies of certified invoices and/or any correspondence dealing
with the contract should be sent to:
U.S. Equal Employment Opportunity
Commission
Financial Management Division
P.O. Box 33459
Washington, D.C. 20033-0459
7. Reviews
- For cost-reimbursable type contracts, the Contract Monitor
should review weekly the costs of services being provided to
determine if the costs will exceed the amount obligated by the
contract. Since invoices are usually received long after the
fact, monitors have an obligation to request estimated costs
from the vendor if it appears that the obligated funds will be
exhausted. In those cases where, after review, it appears that
the costs will exceed the amount obligated by the contract, the
Contract Monitor should immediately prepare an EEOC Form 123,
Requisition for Supplies, Services, Equipment, Furniture,
requesting a contract modification, and transmit the Form 123
to the Contracting Officer. The request for modification must
contain adequate justification for the increased costs.
- For firm-fixed price type contracts, the Contract Monitor,
on a regular basis, should review the costs of services being
provided to ensure they do not exceed the amount obligated by
the contract. In those cases where after review it appears that
a change in the scope/requirements of the contract is
necessary, the Contract Monitor should immediately prepare an
EEOC Form 123 requesting a contract modification, and transmit
the Form 123 to the Contracting Officer. The request must
contain adequate justification for the requested
modification.
- Contract Monitors are also responsible for continually
determining whether the contract is on schedule, estimating
whether the work will be completed within the contractually
specified performance period, and requesting time extensions,
when appropriate, well in advance of the contract termination
date.
A copy of EEOC Form 123, Requisition for Supplies,
Services, Equipment, Furniture, is appendix 2, hereto.
8. Modifications
The EEOC Contracting Officer is the only person who can
authorize a modification to the contract. Requests to alter the
contract in any manner must be in writing and must be sent to the
Contracting Officer. Changes to the contract cannot be honored
unless there is a copy of Standard Form 30, Amendment of
Solicitation/Modification of Contract, signed by both the
Contracting Officer for EEOC and, if necessary, an official of
the Contractor.
All requests for modifications, especially those involving
increased costs, should be submitted as soon as possible. Federal
regulations forbid payments in excess of the amount obligated on
the procurement documents. Payments in excess of the existing
obligation cannot be made even though services have been received
unless a modification has been processed obligating the
additional amount of money.
A copy of Standard Form 30, Amendment of
Solicitation/Modification of Contract, is appendix 3, hereto.
1 Since this section was
originally written, the Commission has begun using the Interior
Department Electronic Acquisition System - Procurement Desktop
(IDEAS - PD) to prepare, process, and track procurement
documents. (See IDEAS-PD User’s Guide). In addition, the
Commission has required use of the Integrated Financial
Management System (IFMS) since October 2002 for all purchases of
$2,500.00 and more and for any purchases (awards, purchase
requisitions, contracts, and inter-agency agreements) made with
purchase orders. This subsection does not address any changes to
the procurement process made subsequent to Commission adoption of
IDEAS-PD and IFMS.
2 For contracts
processed at the field office level (those of $25,000 or less),
PMD designates the Office Director as the Contracting
Officer.
3 In the case of
litigation support contracts not exceeding $25,000, a copy of
Form 112 should be sent to the Field Office Administrative
Officer.
This page was last modified on May 18, 2005.
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