SOP 030 Sub Contractor Management no logo

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LEMBAR PENGESAHAN

Disiapkan Oleh: Disetujui Oleh:

No Nama Paraf Tgl No Nama Paraf Tgl

1 2

Dudi Udayana Deny Hermawan

1 2 3

Andy Nugraha

Disahkan Oleh:

___________________ _____________________

Maman Sudarisman John Soedaryono

2 DOCUMENT HISTORY

Version Description Sign

3 TABLE OF CONTENT

TOPIC PAGE

I. OVERVIEW 4

I.01. PURPOSE 4

I.02. INTRODUCTION 4

I.03. IMPLEMENTATION 4

II. PROCEDURE 5

II.01. ROLE & RESPONSIBILITIES 5

II.02. CONTRACT MANAGEMENT 5

II.03. SELECTING PROVIDERS 6

II.04. ACCEPTANCE/ REJECTION CRITERIA 7

II.05. QUALITY CONTROL 8

II.06. CONFIDENTIALITY PROTECTION 9

II.07. TRAINING 9

II.08. AUDITS 9

II.09. MONITORING 10

II.10. RECORDS 10

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I. OVERVIEW

I.01. PURPOSE

The purpose of this SOP is to define the process for selecting, approving, and monitoring subcontractors, vendors, and consultants.

I.02. INTRODUCTION

To ensure consistency and quality of services and products, the PT. POSITION requires that subcontractors, vendors, and consultants:

a. Be approved for use by the respective institution through which funding is managed b. Have written agreements as to the product or services that are to be provided; and, c. Have sufficient quality controls in place to mitigate any risks that a supplier might

introduce to a study or department.

I.03. IMPLEMENTATION

This SOP will be implemented prospectively. Supplies selected prior to implementation of this procedure may continue to be used unless they are determined to be unacceptable due to performance.

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II. PROCEDURE

II.01. ROLE & RESPONSIBILITIES

Role Responsibilities

Hiring Manager

(Project Director, Head Dept, Project Manager)

 Evaluate and select suppliers

 Collaborates with F&A to develop contract documents

 Monitor suppliers

 Determine study-specific training requirements

 Maintain study-specific training documentation

 Review and update contracts in coordination with Administration & Finance & (A&F)

 Provide performance feedback to A&F Administration & Finance

Manager and Analyst

 Ensure compliance with applicable institution and grant agency requirements

 Develop statements of work, budgets, justifications, etc., as needed to finalize contracts

 Maintain contract documentation

 Review and update contracts in coordination with hiring managers

 Resolve performance issues Quality Assurance or

Designee

 Conduct quality reviews and audits of suppliers, as appropriate

 Determine PT.POSITION training requirements

II.02. CONTRACT MANAGEMENT

Administrative support is provided by both SC & PT.POSITION A&F departments. To ensure efficient and timely processing of requests, project directors, and department heads must work with their respective institution's A&F representative to obtain and manage funds and finalize contracts with providers. Specific contacts are listed on the Administration documents.

6 II.03. SELECTING PROVIDERS

STEP ACTION

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Identify the specific needs for the product or services

2

Identify which individual, institution, or business will most likely meet the operational need. Use the following types of sources to identify

prospective providers:

 Previous experience with the provider

 Pre-approved/ preferred lists (e.g., maintains a list of vendors that have standard agreements with the PT. POSITION)

 Sales calls

 Website searches

 Recommendations from others

3

Evaluate prospective using any one or combination of the following methods as appropriate

 Review of marketing materials and information from vendor websites

 Review of CVs for key staff or consultants

 Request the provider respond to a quality questionnaire

 Review of provider policies, procedures, and other internal documentation

 Conductin-g a site audit (see section entitled, Audits)

Note: For general evaluation criteria, see section entitled, Acceptance/

Rejection criteria

4

Coordinate with the appropriate Administration & Finance Analyst to complete all necessary paperwork to finalize the agreement with the provider

7 II.04. ACCEPTANCE/ REJECTION CRITERIA

Providers are evaluated base on criteria such as the following:

a. Acceptance Criteria

 Ability to meet the identified needs of the department/ company

 Company history and business sustainability

 Experiences and qualification of staff or consultant

 Clientele profile and client feedback as indicators of quality and dependability

 Quality system structure, definition and compliance level

 Cost of products or services

 Capability to deliver within specified timeframes

 Compliance with applicable federal law

 Has safety management program and structure b. Rejection Criteria

 Poor or inconsistent quality

 Non-compliance with policy and procedures

 Non-compliance with applicable state federal law

 Untimely delivery

 Inability to meet the company specification

 Incompatibility with the company or project owner

 Company instability

 Has no safety management program and structure (except the provider will follow the company safety program)

8 II.05. QUALITY CONTROL

The following controls mitigate financial, operational risk associated with the use of providers:

CONTRACT TYPE/ PRODUCT

OR SERVICES

QUALITY CONTROLS

Sub-Contractors  Proof of insurance

 Proof of qualification

 Restriction on subcontracting to other individuals

 Directors approval

 Confidentiality agreement Vendors  Proof of insurance

 Sole-source justification

 Proof of qualification

 Company ownership rights specified

 Confidentiality agreement

 Use of approved supplier list (e.g., Company Material Management Vendor Agreement list, IT Network Standard for Hardware &

Software, etc)

 Cost limits for department approval for expenditures

 Incoming acceptance/ qualification/ validation of hardware and software

 Vendors audit (see section entitled, Audits) Consultants  Proof of insurance

 Sole-source justification

 Proof of qualification

 Company ownership rights specified

 Confidentiality agreement

 Consultant restrictions on implementation of recommendation

 Supervision of work by Company Hiring Manager

 Used of approved/ preferred vendors (e.g., Company Material Management Vendor Agreement list)

 Cost limits to department approval for expenditures

9 II.06. CONFIDENTIALITY PROTECTION

Many contract documents provided by PT. POSITION contain boilerplate language for Protection of intellectual property. There are instances, however, when separate confidentiality agreements or business associate agreements are needed. Hiring managers should consult with their A&F contact to determine whether separate documents are required. The hiring manager is responsible for carefully reviewing contract materials and ensuring that all appropriate details and documents are included as part of the contract, and that the documents are complete (e.g., signed and dated by the appropriate parties).

II.07. TRAINING

The following training requirements apply to providers:

 Providers are required to have sufficient knowledge and experience to perfolm their contractual obligations.

 The COMPANY will maintain, as part of the contract files, proof of qualifications (e.g., resume, CV, company brochure, or equivalent documentation).

 As part of study-specific files, project directors will maintain current and archived copies of signed and dated qualifications. Qualifications should be updated

annually.

 Providers who perform study-specific responsibilities may need to be trained on study documents and methods, computer systems, and PT. POSITION SOPS.

Training will be documented according to SOP Safety, Training Program for employee.

II.08. AUDITS

It may be necessary to conduct initial or periodic audits of a provider. Audits should be considered when there is a major risk to the PT. POSITION (e.g., for outsourcing of responsibilities that have been transferred to the PT. POSITION from a private industry sponsor, or outsourcing of major software development projects). Audits may be conducted by PT. POSITION Quality Assurance or by a vetted third party. Project Manager and Project Directors should coordinate with Quality Assurance to ensure that audits are incorporated into selection and monitoring activities, as appropriate.

10 II.09. MONITORING

Monitoring is generally accomplished through one of the following:

 Day-to-day supervision by the COMPANY hiring manager

 Review and acceptance of work products and services

 Incoming inspection and acceptance of equipment

 Routine review of contracts soon-to-expire

Individual problems or errors are corrected on a case-by-case basis and are the responsibility of hiring managers. However, if problems become frequent and impact the successful functioning of department, hiring managers must notify their A&F contact. A&F will work with the hiring manager and the vendor, sub-contractor, or consultant to ensure that recurrent or pressing problems are addressed satisfactorily. The provider's performance and their response to identified problems will be factored into contract renewal negotiations and may result in the provider being replaced.

II.10. RECORDS

The following records will be maintained:

RECORDS FORMAT LOCATION/ ACCESS

Contract files (e.g., statement of work, agreement, qualifications, performance feedback, etc.)

Hardcopy with signature

In Administration and finance (A&F) files

Specific training documentation Softcopy or Hardcopy with signature

In specific files maintained by the project manager or director Audit documentation Softcopy or Hardcopy

with signature

In audit files maintained by the project manager and/or project director

HES Questionnaires form and result

Softcopy or Hardcopy with signature

In Administration and finance (A&F) and HES Managers files maintained by HES Division