Contract and Document Signature Procedure

Document Code No.: CON 7-4 (AEP)
Department/Issuing Agency: King County Executive
Effective Date: August 22, 1994
Approved: /s/ Gary Locke
Type of Action: New

Signed document (PDF, 931 KB)

1.0 SUBJECT TITLE: Contract and Document Signature Procedure

2.0 PURPOSE:

2.1 To establish the approvals and process required before a document may be signed on behalf of the County Executive.

3.0 ORGANIZATIONS AFFECTED:

All King County executive departments and administrative offices.

4.0 REFERENCES:

4.1 King County Code: Chapter 2.16, Title 4, and Chapter 12.16.

4.2 King County Charter Sections 320.20, 495, and 850.

4.3 "Document Tracking System Users Manual" (available from the Department of Executive Administration)

4.4 Executive Order CON 7-3 (AEO), "Signature Authority for Contracts," August 17, 1994.

4.5 Administrative Policy and Procedure CON-7-8 (AP), "Procurement Procedures Using Federal Funds," May 6, 1994.

4.6 Executive Order CON 7-1 (AEO), "Delegating Certain Procurement Activities," January 3, 1994.

5.0 DEFINITIONS:

5.1 "Contract" means, for the purpose of this procedure, a written promise or set of promises for breach of which the law gives a remedy, or the performance of which the law in some way recognizes as a duty.

5.2 "Department Director" means, for the purposes of this procedure, the director of each executive department, the chief officer of each administrative office, and the person temporarily delegated this signature authority as specified in this Administrative Policy and Procedure.

5.3 "Document" means, for the purposes of this procedure, a contract, contract amendment, change order or other legally binding agreement delegated for signature to a Department Director on behalf of the King County Executive. This includes agreements and other instruments which have been approved by the County Council for signature by the Executive.

5.4 "Document Manager" means the department or division employee who prepares or directly supervises staff preparation of the document to be signed and the tracking of the document through pre-signature reviews.

5.5 "Document Tracking System" (DTS) means the automated tracking system administered by the Department of Executive Administration to track the processing of documents for authorized signature.

5.6 "Financial Reviewer" means the department or division employee identified in the Department's Signature Procedures as the person responsible to determine if the document meets the financial requirements of King County Code, this Administrative Policy and Procedure, and other King County requirements.

5.7 "OCRC" means the King County Office of Civil Rights and Compliance.

5.8 "Other Party" means a contractor, elected official or other person signing a document for the purpose of establishing a contract, agreement, or other promise with King County.

5.9 "Routing Form" is one of a set of forms designated by the Department of Executive Administration to be used as the primary data entry source for the Document Tracking System and as the means to communicate each document's review path.

6.0 POLICIES:

6.1 Before a document may be signed on behalf of the King County Executive, Department Directors must ensure that all appropriate reviewing authorities as outlined in Appendix 9.2 have reviewed and approved the document.

6.2 During periods of absence from their office, Department Directors may delegate the signature authority established in Executive Order CON 7-3 (AEO), August 17, 1994, to the Department's Deputy Director or to another person with responsibility for document review within the Department. Such temporary delegation shall be in writing and shall be authorized in advance by the King County Executive. (See Appendix 9.5.)

6.3 Any modifications to standard County document language must be approved by the Prosecuting Attorney and the Risk Manager (when the change involves hold harmless, indemnity, insurance, or other risk issues) prior to authorized signature.

6.4 Except in special circumstances, review by the Budget Division of the Office of Financial Management is not required prior to signature by the Department Director. Departments shall be notified in advance when Budget Division review is requested.

6.5 Any waivers from King County Purchasing and/or Minority and Women Business (M/WB) requirements must be signed by the Director of Executive Administration.

6.6 Signature authority for the transmission of proposed legislation to the King County Council is not delegated as part of this policy and procedure.

6.7 These Contract and Document Signature Procedures do not apply to the Department of Metropolitan Services until Executive Order CON 7-1 (AEO) has been rescinded by the King County Executive.

7.0 PROCEDURES:

Action By: Document Manager

Action:

7.1 Receives document package from the document's author containing three original sets of the document signed by the other party and the other required documents listed in Appendix 9.1.

7.1.1 Reviews the document package for completeness and accuracy, and for compliance with Appendix 9.1. Works with document author to resolve noncompliance.

7.1.2 Enters document data into the Document Tracking System.

7.1.3 Sends document package to Financial Reviewer.

Action By: Financial Reviewer

Action:

7.2 Reviews document to:

7.2.1 Certify that the document's terms and use of funds are consistent with the relevant King County appropriations ordinance. If a document contains revenues from the State of Washington or other non-County source, the Financial Reviewer verifies that the document requirements and proposed expenditures are consistent with funding source requirements and restrictions;

7.2.2 Ensure that sufficient appropriation authority is available for funds to be paid or to be received by the County agency as specified in the document. If the document involves payment of other than Current Expense Funds, the Financial Reviewer assures that revenues are sufficient to cover the document's expenditures;

7.2.3 Verify that financial information in the document and on King County financial forms, including the Record of Contract, is complete, accurate and is in agreement with the financial information in the Accounting Resource Management System (ARMS) or any successor system;

7.2.4 Verify that, if the document includes any federal funds, the document: (a) specifies the amount and source by Catalogue of Federal Domestic Assistance (CFDA) number or other Federal identifier of Federal funds; (b) meets Federal audit and financial standards; and (c) excludes parties as specified by the Federal procurement/contracting program and King County Administrative Policy and Procedure CON 7-8 (AP) "Procurement Procedures Using Federal Funds";

7.2.5 Inspect for compliance with King County Code, including procurement regulations, audit and documentation requirements, Contract Signature Procedure, and other King County requirements; and

7.2.6 Resolve non-compliance with these requirements before signing for financial approval status on the Routing Form and returning the document to the Document Manager.

Action By: Document Manager

Action:

7.3 Determines which County review offices are required to review this document prior to Department Director signature and enters these determinations on to the routing form. (A completed routing form becomes the routing guide for the document review because the document package will be sent to each reviewing agency that is not marked "NA".)

7.3.1 Decides if Risk Management requirements have been met.

7.3.1.1 Enter "NA" on Routing Cover Form if the document is an unaltered version of a standard document for which the Department has received written Risk Management approval for the current calendar year and has received the required items for verification of insurance. (This annual review and approval is typically given for standardized service contracts such as those used by the Health and Human Services Departments.)

7.3.1.2 Signs for Risk Management approval if the insurance and indemnification sections of the document and the scope of work have not been altered since Risk Management's review, and it meets the Risk Management requirements established prior to bid solicitation for this particular document; and the Document Manager has been trained and authorized in writing by the Risk Manager to make this determination.

7.3.1.3 Assigns the document package for Risk Management review if it does not qualify for steps 7.3.1.1 or 7.3.1.2.

7.3.2 Determines if Deputy Prosecuting Attorney review is required.

7.3.2.1 Assigns all construction contracts for Deputy Prosecuting Attorney review.

7.3.2.2 Enters "NA" on Routing Cover Form if the document is an unaltered version of a standard non-construction document approved and issued by the Prosecuting Attorney's Office for use during the current calendar year.

7.3.2.3 Assigns the document package for Deputy Prosecuting Attorney review if it does not qualify for step 7.3.2.2. Note that change orders and amendments only need Prosecuting Attorney review if the Department would like to request such a review or if the Prosecuting Attorney has made such a request.

7.3.3 Ensures the document is an unaltered version of a standard document for which OCRC has issued written approval. Ensures that the document includes all documentary requirements of KCC 4.18 (M/WB), KCC 12.16 (Affirmative Action and non-discrimination), and Section 504 of the Rehabilitation Act of 1973, as amended, and the Americans with Disabilities Act, enters the OCRC tracking data into the tracking system as instructed by the OCRC, and assigns the document to OCRC for review.

7.3.3.1 Enters "NA" on Routing Form if Document Manager has received written authorization from OCRC to conduct document review. Signs for OCRC approval, and forwards file copies of OCRC documents to OCRC.

7.3.3.2 Assigns the document for OCRC review if it does not qualify for step 7.3.3.1.

7.3.4 Sends document package for required reviews using the routing pattern illustrated in Appendix 9.3 (Document Review Routing).

Action By: Risk Manager Reviewer

Action:

7.4 Reviews document for compliance with the insurance requirements established for this document by the Risk Manager; returns problem document to Document Manager; or resolves outstanding issues before entering approval signature on Routing Cover Form.

7.4.1 Risk Management enters the received and sent dates into the Document Tracking System; and sends the document package to the next reviewer using the routing pattern illustrated in Appendix 9.3.

Action By: OCRC Reviewer

Action:

7.5 Reviews document for compliance with King County Code Chapters 4.18 and 12.16, and Section 504 of the Federal Rehabilitation Act of 1973, as amended; returns problem document to Document Manager; or resolves outstanding issues before entering approval signature on Routing Cover Form.

7.5.1 OCRC's clerical support enters the received and sent dates into the Document Tracking System; and sends the document package to the next reviewer using the routing pattern illustrated in Appendix 9.3.

Action By: Deputy Prosecuting Reviewer Attorney

Action:

7.6 Reviews document as to form and reviews bonding issues for construction contracts; returns problem document to Document Manager, or resolves outstanding issues before entering approval signature on Routing Cover Form.

7.6.1 Prosecuting Attorney's clerical support enters the received and sent dates into the Document Tracking System and returns the document package to the Document Manager.

Action By: Document Manager

Action:

7.7 Verifies that all required reviews and approvals have been received and sends document package to the Department Director for signature.

Action By: Department Director

Action:

7.8 Signs document after determining compliance with County requirements.

Action By: Document Manager

Action:

7.9 Prepares the document package for distribution.

7.9.1 Ensures that the document's signature is notarized, or "Attested," if necessary and that if the signature block reads "King County Executive", the Department Director's signature ends with the word "for".

7.9.2 Files the Routing Cover Form in the Department's document signature file.

7.9.3 Enters signature date in the Document Tracking System; and submits the document package to the Purchasing Agency to be encumbered.

Action By: Purchasing Agency Reviewer

Action:

7.10 Reviews document to determine if there are sufficient funds to be encumbered.

7.10.1 Encumbers funds for correctly completed documents, retains one original and returns remaining completed documents to Document Manager for distribution; or

7.10.2 Returns incorrect documents to the Department Director when there are insufficient funds in the corresponding ARMS accounts.

Action By: Document Manager

Action:

7.11 Picks up encumbered documents and:

7.11.1 Submits one original to Records and Election Division for recording and archiving; and

7.11.2 Returns remaining original to Department staff to send to other party.

8.0 RESPONSIBILITIES:

8.1 The Department Director is responsible for:

8.1.1 Establishing department procedures to verify that each document complies with King County Code, including procurement regulations, audit and documentation requirements, and other King County requirements prior to Department Director's signature. These procedures must include review of documents by the Department's financial staff and, as appropriate, by the County's Risk Manager, Deputy Prosecuting Attorney, Purchasing Agency, and Office of Civil Rights and Compliance;

8.1.2 Ensuring that all Departmental and County requirements and procedures are complied with before signing each document; and

8.1.3 Notifying the Executive prior to signing a document if the document or related issues are of significant interest to the Executive, and/or is a document the Executive may want to sign.

8.2 The Financial Reviewer is responsible for reviewing all documents before signature by the Director to verify that the document complies with King County financial requirements.

8.3 The Document Manager is responsible for the processing of documents for signature in compliance with the procedures and King County Code and requirements. The Document Manager may delegate some aspects of the process, such as copying of Document Tracking System data entry to other employees, but the Document Manager will remain responsible for the accuracy and quality of any delegated tasks.

8.4 The Risk Management Reviewer is responsible for determining if documents meet requirements established in the provisions of King County Code 4.12 and the insurance requirements established by the Risk Manager for each document.

8.5 The Prosecuting Attorney Reviewer is responsible for reviewing and approving documents as to form.

8.6 The Office of Civil Rights and Compliance Reviewer is responsible for determining if documents comply with King County Code Chapters 4.18 and 12.16, and Section 504 of the Federal Rehabilitation Act of 1973, as amended.

8.7 The Purchasing Reviewer is responsible for encumbering the identified funds for documents and for returning documents to the Department Director when there are insufficient funds in the corresponding ARMS accounts.

8.8 The Director of the Department of Executive Administration is responsible for:

8.8.1 Maintaining, and improving as needed, the Document Tracking System. This includes notifying all affected persons about changes in procedures, policies, and the forms as they arise, providing training to all affected persons and being a resource for questions and ideas that may arise;

8.8.2 Determining the acceptability of requests for waivers from King County procurement and/or Minority and Women Business requirements, and signing the approved waivers; and

8.8.3 Providing courier services, as necessary, between the reviewing agencies (Prosecuting Attorney's Office, Risk Management, Purchasing Agency, and Office of Civil Rights and Compliance).

9.0 APPENDICES:

These appendices are available from the County Executive Office:

9.1 Contract Package Content Requirements

9.2 Required Document Reviews

9.3 Document Review Routing

9.4 Document Tracking System Routing Forms

9.4.1 Contract (non-construction) Routing Form (yellow)

9.4.2 Contract (construction) Routing Form (blue)

9.4.3 Contract Amendment/Change Order Routing Form (green)

9.4.4 Agreement, Application, or Other Miscellaneous Item Routing Form (pink)

9.5 Temporary Signature Authority Delegation Form