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Statement of Work for Personal Services Contracts

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1 Statement of Work for Personal Services Contracts
Welcome everyone. Thank them for coming. Each presenter introduces themselves. Housekeeping Snacks in back Emergency info Purpose of the training: Provide information from various perspectives; legal, procurement, risk. Project Managers - HUGE influence on how well the SOW is written. Understanding other perspectives increases your understanding and gives you more options. Oregon Department of Transportation Procurement Office April 17, 2012 Slide 1 1

2 Introductions Your name Where you work
What types of projects you manage Be sure to sign the training roster. Slide 2 2

3 Training Outline General info about Statement of Work
Overview of development and review process Contract writing style Guidelines for developing a Statement of Work Resources First covering “general information about Statement of Work” Followed by the development and review process. Nuts and bolts of Contract Writing Style Specific tips and hands-on activities. Details that slow down the approval process. “How to” approaches to developing a SOW in “Guidelines for Developing SOW”. Wrap up Overview of some resources. Summarize the training. Training Evaluation Form. Certificate of Completion. We’ll take questions through the presentation. Please go to last tab and take out all pages. These are handouts and activities we will go through as we progress through the presentations. Slide 3 3

4 General Information about Statement of Work
Slide 4

5 ODOT procures a variety of things
ODOT procures a lot of different things Goods – Examples: Purchase of computer software or hardware Trade Services – All other services not personal services. Examples: Hardware or software maintenance and support. Off-the-Shelf type training (not customized for ODOT). Personal Services – AKA “Professional Services.” Category of services that require specialized skills, knowledge and resources in the application of technical or scientific expertise, or the exercise of professional, artistic or management discretion or judgment, Customizing software or programming for ODOT needs. Implementation of software. Personal Services Goods Trade Services

6 Types of Personal Services
A&E Related Services A&E Handout: Definition of Services Statement of Work is typically used when procuring Services, especially Personal Services Personal Services – Commonly referred to as “Professional Services.” A&E and Related Services Highway design and engineering - Planning, environmental impacts, right of way, archeology Non-A&E are not related to highway project delivery Customized training - Developing customized software - Consulting services for process improvement Trade Services – All other services not personal services. Examples: plumbing, painting structures, training (Skillpath), janitorial. Distinctions important for procurement - different ORS and OARs requirements apply. Non-A&E Slide 6

7 Scope of Work Statement of Work (SOW)
Confusion about “Statement of Work” and “Scope of Work”. Closely associated, but there’s a primary difference between the two... (Click to show answers) One’s an idea or concept – the other is a document. Acronym “SOW” typically refers to Statement of Work Slide 7

8 What’s the difference? Scope of Work An idea or concept
A range of services and deliverables Defines the parameters of what could be included Statement of Work A document Heart of the contract; explains “the deal” Specifies details about the commitments: To provide Services To prepare Deliverables To solve a problem Examples: Project Specific Contract & Work Order Contract Scope of Work Sometimes called “Scope of Services” Range of services and deliverables. Could have Scope of Work for: Project, Solicitation, Contract, Amendment, Task Defines parameters of want can be included in the contract or amendment Statement of Work Heart of the contract Defines what ODOT will receive from consultant Specifies details Helps establish “legal obligation” to pay for services. Slide 8

9 Why is this important to know?
Visual representation of Project Specific situation. Slide 9

10 Project Specific Contract
RFP Scope of Work Project Specific Contract Amd When amending Project Specific Contract stay within scope of work in RFP. Slide 10

11 RFP Scope of Work PA Scope of Work WOC Scope of Work WOC Amd
Price Agreement & WOC situation RFP – Advertisement to business community Scope of Work described in summary section Menu of services; broad outline of services. PA – awarded to several qualified and experienced firms. Scope of Work described in RFP Menu of services; within RFP. Typically same as RFP. PA can expand if RFP includes provisions or wiggle. PA scope stays within RFP scope. WOC – awarded to PA for specific project Scope of Work described in Statement of Work. Can add scope WOC stay within PA scope Amendments to the WOC or the Price Agreement WOC Amd Slide 11

12 Amending a Contract (when under DAS authority)
Contract with SOW Amd 1 with SOW Amd 2 with SOW Purchases not directly related to the transportation system fall under DAS procurement authority; (Non-A&E, including IT, HR, disparity studies, etc.) These purchases must comply with DAS Administrative Rule: DAS defines 2 categories of amendments: Anticipated Amendments Unanticipated Amendments We’ll spend a little time with this – it’s important to understand when you’re developing your initial Statement of Work for a project To amend a contract: Must be within Scope of Work Either stated as an “Anticipated Amendment” or within limits for “Unanticipated Amendment”

13 Unanticipated Amendments
Cumulative amount of unanticipated amendments cannot exceed 20% of original contract amount. If exceeds 20% of original contract amount, must meet criteria in OAR and be approved in writing by ODOT’s Designated Procurement Office or DAS’ Chief Procurement Officer. Best business practice identify situations that would require an amendment. Include them in the initial contract as anticipated amendments. If unexpected situation occurs in project that exceeds the limits for an unanticipated amendment, can amend contract only if ODOT’s Chief Procurement Officer (Michelle Remmy) or Chief Procurement Officer for the State (Dianne Lancaster at DAS) gives written approval based on determination that: (i) The change is legitimate and due to unforeseen circumstances which occurred as Work progressed, and that the reasons for the change were unforeseen at the time the Original Contract was established, as opposed to an effort to evade Procurement requirements; (ii) The Original Contract contains clauses authorizing modification; and (iii) The Unanticipated Amendment does not represent a material change that alters the essential identity or main purpose of the Original Contract, or is of such importance as to constitute a new undertaking. The determination and approval must be included in the Procurement File according to OAR

14 Amendments Contract Anticipated Amendments Unanticipated Amendments
Development Implementation Training Increase Term Increase NTE Amount Unanticipated Amendments “Anticipated Amendments” identified in the Contract Here’s how this is put into practice… The initial Contract includes: Scope of Work for the contract Term of the contract NTE amount for contract SOW for the initial work to be completed T&C which include a section that identifies “anticipated amendments” for this specific contract Anticipated Amendments in this example include adding phases of work for Development, Implementation, Training, Adding time and money to cover the additional work Additional work must… be within scope of work have been included in the contract as an anticipated amendment

15 Amendments Contract Anticipated Amendments Amendment #1
Development Implementation Training Increase Term Increase NTE Amount Unanticipated Amendments Amendment #1 Add SOW for Development Increase Term Increase NTE Amount Amendment #2 Add a subconsultant to Contract Is Amendment #1 an anticipated or unanticipated amendment? Anticipated, so no limit to amount of work, time or cost Must be within scope of work for contract Is Amendment #2 an anticipated or unanticipated amendment? Unanticipated Can we make this change? Does it fit within the limits for unanticipated amendment? Yes, because we have not exceeded 20% of original contract amount Do we need ODOT Chief Procurement Officer or DAS approval to make this change? No, because we have not exceeded 20% of original contract amount

16 Limiting amendments to a contract helps prevent this…
Amendments exceeding the original contract Although with Phased Approach contracts, this would be anticipated and expected.

17 Where to include a SOW Request for Proposal Project Specific Contract
ODOT RFP CONTRACT Project Specific Contract - sample SOW in RFP. potential proposers a better idea of services ODOT requires. respond more appropriately in their proposal Focus on qualifications and experience relative to project. While developing sample SOW for RFP: Requirements are defined. Determine qualifications and experience levels needed. Useful when developing evaluation criteria for selecting consultant. Contract generally has same SOW as RFP. Can make changes to Contract SOW if RFP allows. Contract SOW must be within RFP scope of work. Can include just Scope of Work in RFP: Takes time after consultant selection to draft, review, negotiate and get approval of SOW for contract. Slide 17

18 Menu of Services Statement of Work
Request for Proposal Price Agreement Work Order Contracts Work Order Contract PA and WOCs are different. ODOT uses them – quicker and more flexibility. RFP and PA – Menu of Services Skeleton of what you may want PAs awarded to firms qualified to provide services WOCs – Statement of Work For specific project Well defined tasks and deliverables Details Within PA scope of work awarded to PA selected based on criteria needed for specific project. Slide 18

19 Statement of Work can also be used in…
Intergovernmental Agreements Direct Appointment Contracts Sole Source Contracts Amendments SOW also used in: Intergovernmental Agreement when for Services TGM Model, they use the same SOW in Contract and IGA Contract – between ODOT and Consultant IGA – between ODOT and local jurisdiction SOW links local jurisdiction and their obligations to the project. No direct legal obligations between local jurisdiction and Consultant. Stress importance of Project Manager’s role Direct Appointment and Sole Source Contracts: Must meet criteria in ORS and OAR to do these types of contracts Amendments – revise elements within the SOW, delete existing SOW and replace with new SOW. add to the SOW (addendum for new tasks or new phase of work) Slide 19

20 Believe it or not… Even though you’ve used the same consultant on similar projects in the past and “they know what they are doing”, it is still important to have a well written Statement of Work that clearly explains the deal. Good reasons to spend time and effort needed to develop well-written SOW Slide 20

21 Write for all Potential Audiences
Consultants Oregon Dept of Transportation Dept of Administrative Services Department of Justice Secretary of State Politicians Court Public To be understood by all potential readers, including but not limited to: Consultants – includes subconsultants, firms not awarded, other firms Oregon Department of Transportation – other staff in section, other sections, Procurement Office staff. Department of Administrative Services –apply if ODOT loses delegated authority. Department of Justice – legal sufficiency review Secretary of State – audit purposes Politicians –special interests in project. transparency and accountability of how taxpayer’s dollars are spent. Court – If issues are elevated to that level. Public – Private citizens and the press. (Community-based special interest group or private citizen wants to know more about work being done near their community.) Slide 21

22 Legal Sufficiency Requirements per OAR 137-045-0015
Applies to RFP, Contracts, and Amendments Do not fragment services into separate contracts to avoid requirements Must be legally sufficient regardless of contract amount HANDOUT: Requirements for Legal Sufficiency Another reason to invest time and effort into developing well-written SOW: Review requirements on handout Legally sufficient regardless of amount: OPO reviews for legal sufficiency Slide 22

23 Legal Sufficiency Review
DOJ Video DOJ Video (if time, watch video) DOJ Handouts – Legal Review of Contracts Contract Drafting Tips from DOJ Points to make after video DOJ charges $137 per hour or $13.70 for 6 minute intervals. OPO will work with you to get your SOW in as good a shape as we can before sending to DOJ, so DOJ review will be quicker, less expensive Don’t share s from DOJ or versions of SOW with DOJ revisions or comments in track changes. Requirements for legal sufficiency Required provisions and certifications are in the contract boilerplate Contract Administrators mostly need to focus on development of well written SOW Slide 23

24 Well-written Statement of Work
Meets legal sufficiency requirements Clearly assigns obligations and responsibilities Clearly describes requirements and expectations Defines deliverables and delivery schedule Well-written Statement of Work: In addition to meeting legal sufficiency requirements, a well-written SOW 1) should designate who does what. 2) should include ODOT’s requirements and expectations for work to be completed. 3) identify and describe what consultant will prepare (the deliverables) and when they must be submitted to ODOT. Slide 24

25 Well-written Statement of Work
Identifies acceptance criteria Minimizes risk of interpretation errors Ties deliverables to consultant payments Enough detail to adequately administer it to a success outcome Withstands changes in staffing Well-written Statement of Work: 1) should specify or incorporate standards and requirements that deliverables must meet. 2) should include enough detail to avoid miscommunications. This will also reduce the need for contract amendments to add clarification. 3) defines what ODOT is getting for the money we are paying the consultant. 4) should include details to provide a basis for evaluating and enforcing contract requirements. 5) should be written so it can be clearly understood if staff replacements occur during the contract period. Slide 25

26 Statement of Work Development Process
DOJ OPO SOW Slide 26

27 Cast of Characters Contract Administrator (often Project Manager)
Price Agreement Administrator Subject-matter experts Project stakeholders ODOT Procurement Office Dept of Administrative Services (DAS/SPO) Department of Justice attorneys Federal Highway Administration or Federal Transit Administration Consultant HANDOUTS: Developing a Statement of Work – Roles and Responsibilities It takes a long time to develop a well-written Statement of Work. Multiple people involved in developing the SOW, and they each add review time and changes. Contract Administrator – Project Specific Contract or for Work Order Contract Usually the Project Manager for project May be called “Agency’s Project Manager” or “WOC Project Manager” in the contract DAS/SPO and DOJ review and approval may be required Project stakeholders – City, County, Metropolitan Planning Organization (MPO) Federal Highway Administration Consultant - Can a Consultant write the SOW for you? (next slide) Slide 27

28 Consultant’s Contributions
Prior to Consultant Selection Request for Proposal, however Consultant ineligible to compete for contract After Consultant Selection Project Specific Contract Work Order Contract Direct Appointment Contract Sole Source Contract Amendments Prior to consultant selection… Consultant should not be writing your Statement of Work If they help develop SOW, they cannot compete for the contract. After Consultant Selection, Consultant can make significant contributions, however ODOT must review and revise to reduce risk to ODOT Slide 28

29 Developing the RFP or Contract
DOJ When over $150,000 ODOT Procurement Office Contract Administrator Contract Administrator (i.e. Project Manager) has primary responsibility for developing the Statement of Work and getting it into good shape before submitting it to OPO for review. Coordinates with others for input, review of drafts and revisions. Negotiates changes with Consultant (if after selection of Consultant) All Personal Services Contracts must be submitted to the ODOT Procurement Office for review. Procurement Specialist works with Contract Administrator to resolve risk and legal sufficiency issues. Procurement Specialist is DOJ’s primary contact person during the legal sufficiency review and approval process. Contract Administrator has MAJOR influence on how quickly the SOW is approved. Poor quality SOW takes longer – requires extensive review and rewriting Timeliness of reviews and responses – slow responses delay approval PA Administrator Stakeholders Subject-Matter Experts Consultant Slide 29

30 RFP and Contracts for IT
DOJ When over $150,000 ODOT Procurement Office IT Procurement & Asset Management Contract Administrator Contract Administrator (i.e. Project Manager) has primary responsibility for developing the Statement of Work and getting it into good shape before submitting it to OPO for review. Coordinates with others for input, review of drafts and revisions. Negotiates changes with Consultant (if after selection of Consultant) All Personal Services Contracts must be submitted to the ODOT Procurement Office for review. Procurement Specialist works with Contract Administrator to resolve risk and legal sufficiency issues. Procurement Specialist is DOJ’s primary contact person during the legal sufficiency review and approval process. Contract Administrator has MAJOR influence on how quickly the SOW is approved. Poor quality SOW takes longer – requires extensive review and rewriting Timeliness of reviews and responses – slow responses delay approval PA Administrator Stakeholders Subject-Matter Experts Consultant Slide 30 30

31 Contract Writing Style
This section of the training will cover some basic writing styles that will help you meet the objectives and requirements for writing a SOW. Objective and Requirements such as: Assign responsibility Describe Obligations Minimizing interpretation errors Which collectively reduces Risk Slide 31

32 “One should aim not at being possible to understand, but at being impossible to misunderstand.”
~ Marcus Fabius Quintilian

33 Write Clearly and Concisely
Clear language Clear authority Well Organized Plain Language To meet these objectives it is important to write a SOW that is Clear and Concise Slide 33

34 Clear Language Avoid ambiguous language
Consistent use of defined terms Define abbreviations and acronyms What do we mean by clear language? Avoid using ambiguous language. Use terms consistently Defining acronyms and the included abbreviation Slide 34

35 Avoid Ambiguous Language
Ambiguous language are words or phrases with more than one interpretation. Words or phrases such as: acceptable reasonable best efforts Industry standards we they our assist help work with Ambiguous language are words or phrases with more than one interpretation. Avoid using words or phrases such as: they assist acceptable we help reasonable our work with best efforts industry standards When you start to use one of these terms, ask what do we really need. Slide 35

36 Avoid Ambiguous Language
Ambiguous: We shall attend the Technical Advisory Committee meeting to present the draft survey findings. Slide 36 36

37 Avoid Ambiguous Language
Ambiguous: We shall attend the Technical Advisory Committee meeting to present the draft survey findings. Instead of using “they”, “we” or “our”… assign responsibilities to either Consultant or Agency. Revised: Consultant shall attend the Technical Advisory Committee meeting to present the draft survey findings. Slide 37 37

38 Avoid Ambiguous Language
Ambiguous: Consultant shall assist ODOT with stakeholder interviews. Slide 38 38

39 Avoid Ambiguous Language
Ambiguous: Consultant shall assist ODOT with stakeholder interviews. Instead of using “assist” or “help”… define the activities that consultant shall do to “assist” or “help” ODOT. Revised: Consultant shall develop a questionnaire. Consultant shall conduct and fully document 15 face-to-face interviews with Project Stakeholders identified by Agency. Slide 39 39

40 Avoid Ambiguous Language
Ambiguous: Consultant shall work with ODOT staff to present results of Noise Study to the Noise Review Board. Slide 40 40

41 Avoid Ambiguous Language
Ambiguous: Consultant shall work with ODOT staff to present results of Noise Study to the Noise Review Board. Instead of using “work with”… specify activities consultant shall do to “work with” ODOT. Revised: Consultant shall prepare presentation material that summarizes Noise Study results. Consultant shall print copies of presentation material for public distribution. Slide 41 41

42 Avoid Ambiguous Language
Ambiguous: Consultant shall revise the Draft Memo into an acceptable Final Memo. Slide 42 42

43 Avoid Ambiguous Language
Ambiguous: Consultant shall revise the Draft Memo into an acceptable Final Memo. Instead of using “acceptable”… specify requirements or standards that must be met to be “acceptable”. Revised: Consultant shall revise the Draft Memo to prepare a Final Memo that incorporates Agency’s edits and comments. Slide 43 43

44 Avoid Ambiguous Language
Ambiguous: Consultant shall use their best efforts to obtain 50% survey response rate. Slide 44 44

45 Avoid Ambiguous Language
Ambiguous: Consultant shall use their best efforts to obtain 50% survey response rate. Instead of using “reasonable” or “best efforts”… describe the level of detail or amount of effort required to comply with “reasonable” or “best efforts”. Revised: Consultant shall send initial survey to target businesses. If less than 50% response received in two weeks, Consultant shall send the same survey to the businesses who did not respond to the initial survey. Slide 45 45

46 Avoid Ambiguous Language
Ambiguous: Final Plans must comply with industry standards for culvert design. Slide 46 46

47 Avoid Ambiguous Language
Ambiguous: Final Plans must comply with industry standards for culvert design. Instead of using “industry standards”… determine if there are written standards and incorporate them by reference. Revised: Final Plans must comply with FHWA Highway Design Standards (HDS) 5: Hydraulic Design of Highway Culverts. Slide 47 47

48 Consistent Terminology
Use the same term consistently throughout the document Use the same terms as defined in the Contract or Agreement “Consultant” or “Contractor” “Agency” or “ODOT” “City”, “County” or other defined term “Project” Use the same terms in the Statement of Work as used in the Contract ODOT Contract Boilerplate - Consultant , Agency, Project IGA typically uses - State or ODOT, City, County or Agency, Project Statement of Work - Contractor or Consultant. Agency or ODOT, Project, Other stakeholders: City, County, or others as defined in SOW Choose one term and use it consistently throughout the SOW Slide 48

49 Consistent Terminology
Using multiple terms for the same thing is a common error which can lead to problems: Implementation Project Status Report Project Status Report Status Report Interchange Area Management Plan Area Management Plan the Plan Procurement Specialists commonly see multiple terms for the same thing. As you get farther into the required tasks and referring back to previous terms, it can become very confusing. Use the same term consistently, or…. (next slide) Slide 49

50 Consistent Terminology
Abbreviations & Acronyms Shortening long phrases can make the Statement of Work easier to read and helps with consistency Commercial Off the Shelf Training (COTS Training) Interchange Area Management Plan (IAMP) Memorandum of Traffic Study Findings (Technical Memo #1) Use abbreviations or acronyms. Abbreviations and Acronyms is the shorting of words or phrases by assigning a new term. Technical Advisory Committee Meetings (TAC Meeting) Interchange Area Management Plan (IAMP) Memorandum of Traffic Study Findings (Technical Memo #1) Slide 50

51 What does this acronym mean?
PR Define all acronyms used in your Statement of Work Ask for group input. OPO list of Acronyms has 4 definitions: Periodic Review Preliminary Report Public Relations Purchase Request The point of this exercise: An acronym may have several meanings. Undefined acronyms increase risk in the contract. Sometimes meaning can be figured out from context. Sometimes meaning is not understood. Sometimes meaning is misunderstood. It’s important to define all the acronyms in your Statement of Work – Write SOW so it can be understood by all potential audiences. Slide 51

52 Consistent Terminology
Abbreviations & Acronyms Use abbreviations or acronyms for phrases that occurs multiple times. Don’t use abbreviation or acronym for phrase that only occurs once or twice; instead spell it out each time. Use abbreviations or acronyms when phases used multiple times within SOW If only used once or twice– spell it out both times! Slide 52

53 Abbreviations & Acronyms
First occurrence in the body of the SOW: Spell out the phase followed by the abbreviation or acronym within parenthesis. Consultant shall prepare a Field Management Plan (Memo #2) that describes in detail the procedure for… Agency may initiate Oregon Highway Plan (OHP) policy amendments to ensure… First define the abbreviation or acronym in the body of the SOW Spell out the full term followed by abbreviation in parenthesis. Slide 53

54 Defining Acronyms Subsequent occurrences in the SOW:
Use just the abbreviation or acronym Memo #2 must include three performance measures for each … Review and provide comments on draft OHP policy amendment #… Subsequent occurrences - just use the abbreviation or acronym. Use the same abbreviation or acronym consistently throughout the document. Slide 54

55 Abbreviations & Acronyms
Can also define abbreviations and acronyms in a list or table for easy reference List of Acronyms ACT – Area Commission on Transportation FHWA – Federal Highway Administration DAS – Department of Administrative Services OHP – Oregon Highway Plan PR – Preliminary Report TAC – Technical Advisory Committee In addition, If long SOW, helpful to include a list or table of abbreviations and acronyms If forget, can check list instead of looking for first occurrence. Slide 55

56 Write Clearly and Concisely
Clear language Clear authority Well Organized Plain Language We’ve covered Clear language. Now we’ll go over “Clear Authority” Slide 56

57 Clear Authority Write in active voice Assign responsibility
It’s ODOT’s contract Writing with Clear Authority We’ll cover: Writing in active voice Clearly assigning responsibility and “It’s ODOT’s contract“ Slide 57

58 Active Voice Sentence Structure
Subject → Action → Object Consultant shall revise Tech Memo #1. What is Active Voice? In Active Voice, the subject is followed by the action and the object. In this sentence: What is the subject? What is the action? What is the object? [click to go to next slide] Slide 58

59 Active Voice Sentence Structure
Subject → Action → Object Consultant shall revise Tech Memo #1. Actor → Action → Receiver (Result) It could also be a sentence with Actor, Action and Receiver (or result). Slide 77

60 Passive Voice Sentence Structure
Tech Memo #1 will be revised. Object → Action Who will revise Tech Memo #1? In Passive Voice, the subject doing the action is implied. [click to bring up text box] It is unclear who is responsible for the Action. Writing in passive voice can lead to : Confusion and complications when administering the contract. Increases the risk that you won’t get what you want, or You may have to pay more to get what you want. When you properly assign responsibility, that automatically sets up the sentence to be in active voice. Slide 78

61 Another Example A GAP Analysis Report will be prepared.
Passive voice: A GAP Analysis Report will be prepared. Object → Action Active voice: Consultant shall prepare a GAP Analysis Report. Subject → Action → Object Here is an example of passive voice changed to active voice: Additional Info: When Consultants draft a proposed SOW, they often use ambiguous language (We, they, etc.) and write in passive voice. When using their proposal to draft the SOW, review it carefully and rewrite passive voice sentences into active voice. Easy approach to drafting active voice sentences is the next item under Clear Authority [next slide]….

62 Assign Responsibility
Clearly assign responsibility for each activity: Consultant shall… (Required) Consultant may… (Optional) Agency will…. (Required, but with wiggle room) Tech Memo #1 must… (Required) Clearly assign responsibility for each activity Writing conventions from DOJ: “Consultant shall” develop a list of marketing strategies – means It’s a requirement; a contractual obligation “Consultant may” contact other agency personnel to gather information – means It’s not required; Contractor has the option. Another example: “The marketing strategies may include….” “Agency will” review the draft marketing strategies and provide comments to Consultant, – Will used to obligates Agency to do something at some future point. “Agency shall” is generally not used in ODOT SOWs even if we are fully obligated to do something. “Tech Memo #1 must” include… – “Must” is used to address requirements for inanimate objects or processes. Shall verses Will - In technical terms “will” has some wiggle room. Slide 79

63 Responsibilities and Level of Effort
Define task responsibilities for both parties; ODOT and Consultant When using Fixed Price compensation, define level of effort that is agreed-to between ODOT and Consultant for the task, activity or deliverable. Handout: Roles and Responsibilities (excerpts from SOW) Example of new approach used in IT SOW to clearly define roles and responsibilities between the parties to the contract Example #1 Contractor Responsibility – ODOT Responsibility Contractor Deliverable – ODOT Deliverable Estimated hours that fixed price is based on – as basis for negotiating any future changes, if needed Example #2 Grey box – Contractor responsibility – ODOT Responsibility – Contractor Deliverables Track changes shown to illustrate suggested revisions to utilize writing conventions – Define terms Use terms consistently Clearly assign responsibility Writing in active voice

64 It’s ODOT’s Contract! ODOT has the burden of responsibility to clearly ask for what we expect. If the contract doesn’t clearly represent what ODOT expects: Deliverables may not meet ODOT’s needs. May have to amend the contract and pay more to have Consultant redo deliverables. Hard to justify additional costs for existing work. What we need to keep in mind when drafting SOWs is that it is ODOTs responsibility to clearly ask for what we expect from the Consultant. Slide 80

65 If it goes to Court? If it’s not in the contract, it can’t be enforced. Courts tend to favor the Consultant if there is an ambiguous Statement of Work and the Consultant’s interpretation is reasonable. What happens if a disagreement goes to court? The Court will read the contract. Courts will view ODOT as the owner of the Contract… therefore it’s our responsibility to clearly ask for what we expect. If we expect the Consultant to do something that is not in the contract, the Court cannot enforce it. Judges will look at what a reasonable person would understand the contract to mean. Slide 81

66 Write Clearly and Concisely
Clear language Clear authority Well Organized Plain Language Next we will cover “Organization of the SOW” Slide 82

67 Organization Shorten overlong sentences Use numbered or bulleted lists
Arrange in logical order Use headings Proper grammar and punctuation A well organized Statement of Work is easier to read and easier to administer: Shorten overlong sentences Use numbered or bulleted lists Arrange in logical order and use headings Use proper grammar and punctuation Slide 83

68 Shorten Overlong Sentences
Break into several short sentences, or convert to a numbered outline or bulleted list, such as: Consultant shall: 1.1 Attend Project Team Meeting. 1.2 Present options with outline of advantages and disadvantages of each option. 1.3 Present Consultant’s recommendation for the best option. Breaking an overlong sentences into several short sentences sometimes results in a series of sentences that each start with “Consultant shall…” To avoid sounding too repetitive, turn it into a bulleted list Consultant shall: activity Slide 84

69 Organize the Statement of Work
Use headings to organize SOW into sections A. Project Description and Overview of Services B. Acronyms and Definitions C. Standards and General Requirements D. Review, Comment and Schedule Overview E. Format Requirements F. Tasks, Deliverables and Schedule SOW Template uses headings to separate the SOW into sections: Section headings commonly used in SOW are listed on slide. Slide 85

70 Organize the Statement of Work
Number and name each task and subtask Organize tasks and activities within tasks in logical order; Grouped Sequential Chronological Either include deliverables and due dates with appropriate task or in separate table. Organize the SOW tasks and deliverables in some sort of logical order: Can organize activities and tasks into groups. Often organized in sequential or chronological order. If deliverables in a table, arrange in sequential or chronological order. Slide 86

71 Number Task & Subtasks Example
Task 1 –Pedestrian and Bicycle Arterial Crossings Consultant shall prepare a Professional Literature Review Report (Literature Report). Literature Report must include: Pedestrian Safety Plan Recommendations regarding threshold distance Deliverables: Literature Report must be submitted to Agency in electronic format no later than May 5, 2010. Example of numbering scheme for tasks and subtasks Makes it easy to refer to sections within the SOW during discussions and for amendments. Handouts: Using Headings and Bullets (group activity) Give everyone both versions of Sample – Standards for Deliverables. Ask questions and participants respond. Ask everyone which version they like best. This gives them an indication of how they may want to set up their SOW so it’s easier to find info as they are administering the contract. Slide 87

72 Grammar and Punctuation
Use “spell check”; but don’t rely on it. Have someone else proofread. After multiple revisions, re-read the whole document. Check resources for grammar and punctuation guidelines. Use proper grammar and punctuation: Use “spell check” to help check for errors Red squiggly underline – possible spelling error Green squiggly underline – possible grammar or punctuation error Don’t rely completely on spell check; also have someone proofread the document. Slide 88

73 Grammar and Punctuation
For assistance with correct grammar and punctuation, check online resources such as: The Blue Book of Grammar and Punctuation Grammarly Handbook Examples of a couple websites found by Googling “grammar rules”. Slide 89

74 Clear Language Clear Authority Well Organized
HANDOUTS: Write in Active Voice / Clearly Assign Responsibility ACTIVITY: Please complete all the sections. This gives you an opportunity to practice looking for some of the things we’ve discussed. Well Organized Slide 90

75 Write Clearly and Concisely
Clear language Clear authority Well Organized Plain Language Now we’ll cover “Plain Language” Slide 91

76 Plain Language ORS requires all state agencies to prepare public communications in language that is as clear and simple as possible. Required for written documents produced for purposes of communicating with public Chapter 142 Oregon Laws 2007 HB 2702: an Act relating to written documents ORS Oregon law Requires all state agencies to prepare public communications in language that is as clear and simple as possible. No standards for what “clear and simple” means No details or parameters around what “public communications” means HB 2702 passed in 2007 to address some of the issues with interpreting and implementing ORS

77 Plain Language Preliminary Plan for Implementing Plain Language (HB 2702) “Written document” not well defined; Agencies should assume it covers all written materials, including those presented on agency Web pages. HB 2702 specifies additional standards for written documents HB 2702 Requires Governor to assign a state agency to develop a plan to ensure that written documents conform to plain language standards. Define standards for plain language Department of Consumer and Business Services (DCBS) designated to develop the implementation plan for the state. Still not well defined what “written documents” it applies to. DCBS plan, Agencies should assume requirements applies to all written materials, including those presented on Agency’s web pages. First priority for implementation is external communications directed at the public or agency’s major constituents. Later stages on the plan will evaluate how the plain language standard could be fit for legal documents, such as administrative rules, interagency agreements and contracts. Not specifically required to conform to plain language standards for contracts, however Complying with “plain language” standards in Statement of Work may improve readability and understanding.

78 Plain Language Standards
A document meets the “plain language” standard if it, whenever possible: Uses everyday words that convey meanings clearly and directly; Uses the present tense and the active voice; Uses short, simple sentences; According to HB A document meets the “plain language” standard if it, whenever possible: Many of these we’ve already covered and they our included in our Statement of Work Writing Guide. Uses everyday words –

79 Plain Language Standards (continued)
Defines only those words that cannot be properly explained or qualified in the text; Uses type of a readable size; and Uses layout and spacing that separates the paragraphs and sections of the document from each other.

80 Guidelines for Developing a Statement of Work
Slide 80

81 Basic Components of a Statement of Work
Contact Information Scope of Work, Background and Purpose Definitions and Acronyms Tasks and Deliverables Schedule of deliverable due dates Standards for acceptance Components of a SOW: Contact Info – for ODOT and Consultant. Scope of Work – project description, background, need and purpose for contract; usually includes one or two sentences that summarize what consultant is being contracted to accomplish. Definitions and Acronyms – Table or list of defined terms, phrases or acronyms used throughout the document Tasks & Deliverables – More details follow. Schedule or Milestones – More details follow Standards – Requirements and acceptance criteria for evaluating deliverables. Slide 81

82 Tasks Tasks may include activities that occur:
Ongoing basis (Project Management) Repetitively (Meetings) Concurrently Sequentially or Chronologically Contingency Tasks Ongoing basis – such as Project Management Repetitive – such as meetings (not recommended for TGM) Concurrently – occurs while other tasks are in progress Sequentially – begin upon completion of previous step, step-by-step order Contingency Tasks – included in SOW, but only completed when needed (MORE ON NEXT SLIDE) Slide 82

83 Contingency Tasks Anticipated tasks that may not be needed
Quicker than amending the contract Issue Notice to Proceed for task when needed Helps control costs Include in SOW for tasks that may or may not be needed. Write task and include contingency task language Quicker than amending contract – task already included in contract. Send separate NTP for contingency task when needed NTP must be written; is okay Send copy of NTP to the PA Administrator Cost Control Measure – You have more negotiation leverage before contract starts. Money for contingency tasks is tracked separately If contingency task is not needed, money cannot be not spent on other tasks. If money is needed for other tasks, must amend contract to reallocate money. Slide 83

84 Deliverables Deliverables validate the work requirements have been met
Interim drafts to evaluate progress Deliverables should be: Tangible Measurable Often some form of documentation Deliverables should be good indicators that the intent of the task and the work requirements have been met. Tangible – How do you make a concept (the best solution) tangible? Document it! Measurable – Does it meet requirements in the SOW? Is it acceptable? Will you pay for it? “Drafts” are acceptable deliverables. Helps ODOT evaluate if Consultant is on the right track and we’ll get what we need and expect. Opportunities for ODOT and other stakeholders to provide feedback; there’s still time for Consultant to make adjustments when needed. Helps to justify interim payments; something tangible you’re paying for. Slide 84

85 Determining Deliverables
What are the objectives of the task? What deliverables would best indicate the objectives were met? SAMPLES Attend a meeting to share information Design a section of roadway When determining what the deliverable should be – ASK YOURSELF… What are the objectives of the task? Sample: Attend a meeting to share information. What deliverable would best indicate the objective was accomplished? Consultant submits copy of meeting minutes that notes Consultant’s attendance at meeting and includes a summary of information that Consultant shared at the meeting. (Interactive Discussion) Design a section of roadway – What is the objective? To engineer and design a section of roadway to solve a problem. What deliverable would indicate that objective has been met? Design plans for construction of roadway section. Slide 85

86 Schedule Deliverable Due Dates Where to put Deliverable Due Dates
Target dates vs. mandatory dates Specific dates Number of days to complete deliverables Where to put Deliverable Due Dates Due dates with tasks Table of deliverables and due dates Tracked on Gantt chart Delivery Schedule: Include due date with task or have a table Table is easier to amend when necessary; sometimes amended due date will effect subsequent due dates. Target Dates vs. Mandatory Dates: Define whether due dates are target (amendment not required to change), or mandatory due dates (requires contract amendment to change.)

87 Schedule (continued) Milestone Dates
Final Study and Recommendations Design Development Implementation Completion Date vs. Expiration Date Delivery Schedule: Milestone dates: Mark major milestones in the project. Requires contract amendment to change. Typically will throw the whole project off schedule if not met. Completion Date: When all work under the contract must be done. Expiration Date Recommend setting expiration date 3-6 months after projected completion date to reduce need for time-only amendments.

88 Strategies for SOW Development
Work with project stakeholders and subject-matter experts Brainstorm or mind map the project needs and requirements Develop contract administration strategy, including change management procedure Think high level, then work down to details To write a Statement of Work, identify what is needed for your project: Get help from project stakeholders and subject- matter experts Brainstorm or mind map what is needed and required Think high level– (more info on next 2 slides) Slide 88

89 High Level; work down to Details
What is the overall objective of the project? Scope of Work What specific services are required? Required Tasks, Anticipated Amendments, Contingency Tasks What specific outcomes are needed? Deliverables What standards of acceptance must be met? Performance and acceptability standards overall objective Leads to development of the Scope of Work May lead to development of Purpose for the contract specific services Leads to development of Tasks outcomes needed? Leads to development of Deliverables standards of acceptance? Leads to development of deliverable requirements and/or references to performance and acceptability standards. Slide 89

90 High Level; work down to Details (continued)
Which party is responsible for task or activity? ODOT or Consultant (or other stakeholder) What levels of expertise required? Project Team / Key Person requirements What is the required completion date? Schedule: Deliverable and Milestone due dates party responsible? Leads to assignment of activities and tasks levels of expertise? Do you need Professional Engineer? Do they need to stamp plan with a PE stamp? Do you need high level of expertise? Will a lower level of expertise suffice in some areas? Leads to negotiation of Project Team and Key Persons. Use in development of evaluation criteria in the RFP. required completion date? When does all the work have to be done? Leads to development of the SOW Schedule, including due dates for deliverables, milestones dates, project phasing. Slide 90

91 Define “Done” Define clear outcomes for the contract
How will you know when the contract is complete? What will you have when the contract is done? Define DONE – What are you trying to achieve? What will you have when the contract is “Done”? When “DONE” isn’t well defined: Scope creep – contract keeps getting amended to add tasks, deliverables and funds. Contract costs go up! Payments not as defendable; what is ODOT getting for the money spent? Higher cost estimates from Consultant to cover unknowns. May not ever get to “Done” – Run out of money, project canceled, terminate contract. Slide 91

92 Statement of Work Options
Decide what best meets project needs Performance-based; focuses on outcome Deliverables-based Recurring Services Service Level Agreement (SLA) Phased approach SOW with multiple stakeholders (i.e. TGM Model) Other customized approaches Handout: Statement of Work with Multiple Stakeholders (TGM Model) Performance-based: Driven by quality of deliverables rather than labor (staff aug). We’re paying for acceptable quality outcomes, not staff time. Phased approach: What if DONE is not known at beginning of project, such as when outcome is dependent on currently unknown factors? Use a phased contract to progress through evolution of the project. Original contract includes SOW for first phase of work. Outcome needed in next phase may be dependent on decisions made in current phase. End of each phase, is Go – No Go Amend to add subsequent phases. SOW for each phase (amendment). Define “DONE” for each phase. SOW with multiple stakeholders: (TGM Model) Include language in SOW to explain the cooperative arrangement. SOW defines obligations for Consultant, ODOT and Local Jurisdiction. Same SOW used in contract with consultant and IGA with Local Jurisdiction. Hybrid :Work with OPO to craft a hybrid designed to meet project needs. SOW with Work Plan - Activities and due dates on Work Plan can be changed by written agreement ( ) between ODOT and Consultant. Amend contract to add or delete tasks and funds. Slide 92

93 First Draft of Statement of Work
Use template Generic Outline Geo-environmental Standardized Scopes of Work Borrow (not copy) language from other contracts Slide 93

94 Using Statement of Work Templates
Slide 94

95 Where to Find SOW Templates
ODOT Procurement Office Intranet “Forms and Documents” Internet “Personal and Professional Services” Sample Statement of Work in Price Agreement Highway Division, Technical Services Branch Intranet: Geo-environmental “Standardized Scopes of Work” Show where templates are located online: ODOT Home Page – Topics A-I, Contracts OPO Home page – Forms and Documents Personal/Professional Services PSK SOW Templates SOW Outline Template, Generic Slide 95

96 Standard SOW Outline Template
Yellow highlights guidance or instructions on how to complete template Blue highlights optional language, revise as needed Handout: Standard SOW Format for Personal/Professional Services (April 2008) Slide 96

97 Throughout SOW Development
As you progress through development of the Statement of Work Revise template or “borrowed” language to fit your project Revise to fit your contract Assess risk As you progress through development Make revisions as needed to fit your project; if using an old SOW from another project, this is especially critical. Revise the template to fit what your requirements are under this contract Assess risk (more on next slides) Slide 97

98 “The danger or probability of loss.”
Risk “The danger or probability of loss.” Loss to ODOT or the public of… money time safety credibility or integrity Risk is the danger or probability of loss. (as defined in Ronda Hollis presentation) Loss of money – deliverables not done correctly. Contract not well written, so ODOT must pay to have deliverables redone. Loss of time – deliverables not done correctly. Takes more time for Consultant to correct them. Project schedule slips. Safety – Not be as common for IT contracts. Example: Traffic Signal Software…if the software doesn’t work correctly it can have dire consequences to the public Credibility or integrity – Problems occur. ODOT gets bad press; written up in Secretary of State audit; fined or penalized by regulatory agency, etc. For IT – Loss of money, time and credibility may be more common than safety concerns.

99 Risk Assessment When developing and reviewing the SOW, consider:
What could go wrong? Likelihood it will go wrong? How much harm? How to avoid or mitigate? How much will ODOT accept? As you develop SOW, consider: What could go wrong with the project under the contract? Sloppy, poorly written statement of work. Could be problems getting what we need. How likely is it to go wrong? Working with new consultant – risk is pretty high. How much could it harm ODOT or the public? Contract costs increase to redo work. Schedule slips – more time needed to redo work. Loss of integrity for ODOT ; spend too much money and take too much time to complete project. What can be done to avoid or mitigate these risks? What can we do to make it less likely. Revise the statement of work. How much risk is ODOT willing to accept to accomplish the mission? Does ODOT want to keep the sloppy SOW and risk not getting what we need, or is ODOT willing to invest time and effort into revising the SOW so it clearly describes our requirements and expectations? Look for things that jeopardize… Success of Project; Safety of Public; ODOT’s project funding Legal Compliance – Contract does not comply with legal requirements, may render the contract invalid, so payments cannot be made. Political Relationships - Consultant does not work well within political structure; problems create difficulties for ODOT on other efforts in that community. Audit Issues – that could lead to: Loss of credibility with legislature and the public Loss of procurement authority Loss of funding

100 Assessing Risk How is risk different when ODOT develops SOW compared to when consultant develops SOW? Is risk to ODOT always higher when consultant develops the SOW? What must you do? Complete thorough risk assessment. Negotiate and revise SOW as needed. When SOW developed by a consultant – Who’s getting the better deal? How is risk different? Consultant will write a SOW that is in their best interests. Lower risk for Consultant. Best utilizes their resources and skill levels. Approach that ensures them more profit. Approach that best meets their timeline. Approach that they know they can succeed in. Is risk always higher when consultant develops SOW? (Get input from the group) Not necessarily. If ODOT does not have previous experience or expertise in the services, may need Consultant to develop initial SOW for what needs to be done. What must Contract Administrator do? Review the SOW Complete a thorough risk assessment; Negotiate and revise the SOW as needed. Slide 100

101 Mitigating Risk Contract language Contract management
Terms and Conditions Insurance and bond requirements Well written Statement of Work Contract management Selection of well qualified consultant Effective administration of the contract Well-written contract AND good contract administration are key to lowering risk. Contract Language – mitigates risk up front Terms and Conditions Some provisions are legally required Some are in ODOT’s best interest Some have mutual benefit to both parties Insurance and Bond Requirements – Don’t rely completely on insurance and bonds to protect ODOT from risk. Exceptions that are not covered Expensive, especially for small firms Statement of Work – What we’re focusing on in this training Contract administration – How contract is administered makes a lot of difference. OPO Contract Administration classes scheduled for June 9th or Nov 30th. Contract Administration class for IT scheduled June 1st. Slide 101

102 Mitigating Risk in the SOW
Statement of Work Clear and concise language Assignment of responsibilities Deliverable schedules Require “drafts” as deliverables Reference acceptance standards Make risk control measures specific to the situation. All of these help to mitigate risk: clear and concise language to describe requirements and expectations Clearly assign which party is responsible for what Set deliverable due dates that are reasonable or expect to pay more if it’s a rush job. Require “drafts” as deliverables – Gives ODOT a chance to inspect progress is Consultant on the right track? Can make adjustments before final is submitted. Incorporate standardized methods and standards, when possible sets expectations Document standards or reference standardized guidelines, policies, procedures, and processes Slide 102

103 Legal or Business? Legal requirement or Business decision
ODOT must comply with legal requirements. Compliance with grant requirements, if applicable. If not a legal, policy or grant requirement, it’s likely a business decision. Business decisions may be heavily influenced by standard business practices. In deciding how to deal with risk: Legal requirements – Often very little flexibility – ODOT must comply. ORS, OAR, FAR, etc. Requirements may be dictated by grant or funding source. If it’s not legal risk, policy or grant requirement, then likely a business decision Decisions by business line – More flexibility to decide what would best meet project needs. When making business decisions, consider multiple options and factors. Consider ODOT standard business practices. Slide 103

104 Business Decision… Who has the authority to accept the risk?
Options may include “Go” or “No Go” to accept or mitigate the risk, or to cancel the project Document the decision and justification for accepting risk Who has authority to accept the risk? Could be different people depending on the level of risk. Risk may create Go or No Go situation. Often can avoid risk, accept risk, mitigate risk, or transfer the risk to Consultant. OPO will require documentation when accepting risk. Slide 104

105 Higher Risk = Higher Costs
Find a healthy balance Business decisions have consequences. Find a healthy balance between protecting ODOT from risk and: Insurance availability and affordability Consultant relationships – Fair business practices Politics – Agency’s credibility with the public Compliance with laws, rules, and regulations Cost of the contract vs. project budget Urgency to get work done. Too much risk on ODOT, may jeopardize: Completion of project Cost of project Public scrutiny – loss of credibility (audits and press) ODOT compliance with laws, rules and regulations. Risk of penalty. Loss of funding for project or future projects. Loss of procurement authority. Too much risk on consultant, may jeopardize their ability to stay in business. High cost of insurance premiums. Quality of relationships for success in future cooperative efforts. Compliance with laws, rules and regulations. Risk of penalty. Expenses too high; Budget too low. Consultant loses money. Inadequate resources leading to bad performance Inadequate skill-level leading to bad performance Loss of credibility; bad reputation in the industry Insurance costs; Relationships; Politics; Laws; Regulations; Project budget; Work done Protecting ODOT and the public Slide 105

106 Scenario ODOT management has allocated resources to start delivery of a new project. The department does not have enough staff to complete all the required services for the project. The department cannot hire more staff, so they decide to outsource some of the work to consultants. Scenario that occurs throughout ODOT. (Move to next slide) Slide 106

107 Can ODOT use a Personal Services Contract to hire temporary staff?
Legal Requirements Can ODOT use a Personal Services Contract to hire temporary staff? NO! Personal Services Contracts can only be used to contract with Independent Contractors What must ODOT do when contracting for services? Enter into contract with an Independent Contractor; and maintain that relationship. Avoid behaviors and appearance of Employer-Employee type relationship. THIS IS A LEGAL REQUIREMENT; not a business decision. May be tempting to contract with consultant, then treat them like an ODOT employee. Don’t do it! Slide 107

108 Legal Requirements OAR states the Statement of Work must not result in an employee relationship with contractor. ORS governs how to obtain temporary employees. OAR , ODOT must develop a SOW that will not result in an employee relationship with contractor. ORS Requirements for how to hire temporary employees. Per interpretation by DOJ – If determined contractor is in employee relationship with ODOT, implies ODOT did not comply with these requirements. (PENALTIES ON NEXT SLIDE) Slide 108

109 These are penalties to you!!
ORS Penalties Penalties for willfully violating requirements of ORS : Criminal misdemeanor offense Fine of up to $500 or imprisonment for up to one year, or both Any person convicted is ineligible for position in state service for period of 5 years ORS Penalties for willfully violating ORS include: Conviction of a criminal misdemeanor offense Fine of up to $500 or imprisonment for up to one year, or both If convicted, ineligible for position in state service for period of 5 years. Penalties to YOU personally! Independent contractor status can be challenged by: Contractor to gain access to state benefits. (Microsoft example) State employee who perceives independent contractor as doing same work and receiving better compensation. Labor union Feasibility Studies required for some Non-A&E services These are penalties to you!! Slide 109

110 Damages to ODOT If contractor is determined to be employee, ODOT is responsible for: Claims for employee benefits Income taxes, plus penalties for late withholdings Negligent activities contractor has does that harms others Violations of collective bargaining agreements Damages to ODOT could include: Must provide employee benefits such as PERS benefits and other benefits available to employees under federal or state laws. Must pay income tax withholding for contract period, plus a penalty for being late for the period prior to employee determination. Assume liability for negligent activities – State could be held responsible for damages arising out of contractor’s negligence. Indemnification clauses in contract could be unenforceable - ODOT could be held responsible for contractor’s activities. Violations of collective bargaining agreements. Slide 110

111 Independent Contractor
Independent Contractor vs. Employee Factors to consider Nature and degree of control by ODOT Services as integral part of ODOT business Duration of contract Can contractor make profit or suffer loss Business practices to provide services for more customers than just ODOT Handout: Determining Independent Contractor vs. Employee, Factors to Consider Describe spectrum of low to high risk and how factors contribute to status. Independent Contractor Employee [ ][ ][ ] Green – low risk Yellow – some risk Red – high risk Factors – Examples include: Nature and degree of control – Does consultant work independently to prepare deliverables or is ODOT managing all their activities? Services as integral part of business – Are services the same or similar to services that ODOT employees do? Duration of contract – is end date well defined, or could contract be extended indefinitely? Make profit or suffer loss – potential for consultant to negotiate low price that doesn’t cover their actual costs (lose money on the project)? Business practices Does consultant maintain a business office? Advertise their services? Have clients other than ODOT? Mitigate risk up front in the SOW! Slide 111

112 Risk Assessments For info and assistance with conducting risk assessments and mitigating risk, contact your OPO Procurement Specialist. OPO can access additional resources: ODOT Risk Management DAS Risk Management Department of Justice When you SOW goes to the ODOT Procurement Office, Procurement Specialist Reviews for legal sufficiency Reviews for risk Procurement Specialist may obtain assistance from DAS or DOJ Slide 112

113 Activity Jones Planning, Inc.
Assess level of risk to ODOT Strategize how risk might be managed in the Statement of Work: Avoided Mitigated Transferred to the Consultant HANDOUT: Jones Planning Inc. ACTIVITY: Assess the risk level of Jones Planning, Inc. using handout “Determining Independent Contractor vs. Employee, Factors to Consider.” Start: Begin the activity individually. Later: Invite them to pair up with someone else to go over what they came up with. Groups reconvene and share findings and strategies for managing risk. Slide 113

114 Additional Resources OPO Intranet Procurement Manual Section M Forms
Chapter 1 – Statement of Work Writing Guide Chapter 2 – Guide for A&E Personal Services Chapter 3 – Guide for Non-A&E Personal Services Forms Procurement-related training DOJ Video Staff contact information Online tour

115 Additional Resources OPO or Contract Administrator
SOW templates, when available Samples of SOW for similar projects OPO Intranet – Procurement Manual chapters on SOW writing If there’s time – do an online tour of OPO Intranet Contact OPO Procurement Specialist or Price Agreement Administrator: SOW templates or samples Sample SOW from similar projects Answer questions or review documents Other resources: Handout binder – Please don’t just stick it on a book shelf and forget about it – Use it, add to it, refer to it from time to time to refresh your memory. DOJ Video (if time, show where located on OPO Intranet)

116 Training Summary Scope of Work vs. Statement of Work
When to use Statement of Work Legal Sufficiency Requirements Development and Review Process Writing Style Clear Language Clear Authority Well Organized Plain Language Things we’ve covered in today’s training Clear Language Avoid ambiguous language Consistent terminology Use abbreviations and acronyms Clear Authority Active voice Assign responsibility; shall, may, should, will, must It’s ODOT’s contract Well Organized Shorten overlong sentences Use numbered outlines or bulleted lists Arrange in logical order Use heading to split into sections Use proper grammar and punctuation Plain Language Slide 97

117 Training Summary (continued)
Tasks, Deliverables and Schedule Strategies for Development Start High Level; Work Down to Details Define “Done” Using Templates Assessing and Mitigating Risk Independent Contractor Requirements Slide 98

118 Any Questions???

119 Thank you for your participation!
A training evaluation survey will be ed to you soon. We’d appreciate your feedback Have a great afternoon!! Thank you so much for your attention and participation. Please pick up your Certificate of Completion. You’ll receive a link to a training evaluation survey by . Please complete the survey… your feedback is very helpful to us in making improvements to the training. Look forward to seeing many of you in June at the Advanced class! Have a great afternoon!! Slide 99

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