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Mar 2012 cdphe contractor performance monitoring trng

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  • 1. CDPHECONTRACT MONITORINGTRAINING Deb Polk, Director CDPHE Contracts Performance Monitoring Unit 2012
  • 2. Terms Contract/Purchase Order = Agreement for goods or services or both Monitoring = Planned, ongoing or periodic activity that measures and ensures contractor compliance with the terms, conditions, and requirements of a contract or purchase order. Contractor Performance = How the contractor meets the terms, conditions and requirements of a contract or purchase order.
  • 3. Contract Monitor/Team Fiscal and Program Clearly Defined Role and Responsibilities Familiar with Contract & Funding Requirements Multiple Monitors – Information Sharing Escalate Compliance Issues within the Program
  • 4. Post Award Meeting Facilitates Compliance Review All Requirements/ Expectations/ Standards/ Monitoring Activities Guidance/Reference Materials Fiscal and Program Staff Attend Group or Individual/ In Person or Telephone Formal Agenda (Refer to Handout) Document Meeting – Share with
  • 5. Risk Assessments Risk-Based Monitoring Program and Fiscal Level of Resources/Activities for Monitoring Uniform Process Solicitation or After Award
  • 6. Risk Assessments (continued) Program Assessment  Compliance with Program/Administrative/ Contractual Requirements  Uniform Process  Criteria  Procedureand tools  Measurement/ Rate  Documentation
  • 7. Risk Assessments (continued) Fiscal Assessment  LPHAs/Counties FRMS  Other Contractors  DivisionFiscal Staff Assesses Financial Management System  Technical Assistance for Assessment Development  Uniform Process
  • 8. Communication Lack of or Inadequate Communication often Leads to Poor Performance Subcontractors Method  InPerson, Telephone (document), Email  Frequency of Contact – Risk Based Staff Roles/Contact Information – Keep Updated (Post Award Meeting) Staff Information Sharing – Who, How and When
  • 9. Monitoring Methods Fits Nature of Project, Risk Level and Resources Documentation Reviews (Fiscal or Program)  Examination/Analysis of Documentation that Reflects Performance  Progress Reports  Survey Results  Electronic Data  Correspondence  Invoices  Fiscal Data/Reports  Tracking Deliverables  Follow Up & Archiving
  • 10. Monitoring Methods (continued) FRMS Site Visits – LPHAs/Counties Site Visits (Fiscal or Program)  Preparation  Entrance Conference (Meeting)  Assessment for Compliance/Following up on Issue/ etc  Exit Conference (Meeting)  Report – CDPHE Template in Development  Follow Up & Archiving
  • 11. Monitoring Practices Standardized Practices – Not Inclusive of ALL Practices (Refer to Handout) High Risk Practices (Refer to Handout)  Federally Funded High Risk Requirements  Special conditions and restrictions must correspond to the reason for the high risk rating AND be included in the award notification or contract  Additional restrictions during contract period:  Contractor must be notified of the nature of the restriction  Reason for imposing the additional restriction  Corrective Action/time line to have restriction removed  Method for requesting reconsideration of the restriction
  • 12. Performance Improvement Plan Formal Process to Resolve Compliance Issues  Program and Fiscal  CDPHE Template in Development  When and How Initiated  Who is Involved  Negotiate Solution & Time line for completion (when possible)  Time Extensions  Progress Tracking  What happens if not completed (Contracts Compliance Team)
  • 13. Documentation of Performance Basis for All Performance Evaluations Provides History of the Contract and Performance Dispute Resolution based on Facts  Facts = Documentation Must Archive Specific Documentation (Refer to Handout)
  • 14. Performance Evaluation CDPHE & CMS Statutory Requirement Training coming up…
  • 15. Technical Assistance Email, Telephone or in Person  Document & Archive Reference Document  Standardizes information/promotes compliance  Post Award Meeting  Best Practices:  Available in hard copy and electronically  Internet access  Short in length and concise  Updated timely & Contractor notified of updates
  • 16. Unresolved Compliance IssuesExtensive effort to resolve issue with Contractor 1. Comprehensive documentation of issue(s) Efforts made to resolve Staff/contractor representatives involved 2. Program management awareness/involvement 3. Notify Contracts Compliance Team Purchasing and Contracts Director, Lisa McGovern 4. General Provisions, “Remedies” Provision Contract/ Intergovernmental/ Master Contract) 5. Implemented all appropriate/applicable Remedies Stop Work Order/ Terminate
  • 17. Monitoring Process Audit Voluntary Audit Monitoring & Evaluation Process Qualify for Reduction in Evaluation Frequency – Level 1 or Level 2
  • 18. Contract Performance Evaluation (CMS Evaluations)
  • 19. Purpose of ContractorPerformance Evaluations Compliance with CMS Statute (Senate Bill 07-228, as Incorporated in the C.R.S. §§24- 102-205,24-102-206,24-103.5-101 and 24- 105-102 Feedback to Contractors Concerning Performance Future Award Decisions Determine Contracting Requirements – Mitigate Risk Information Sharing – internally and
  • 20. Evaluation Categories Quality – met requirements, expectations or desired outcomes as specified in the contract Timeliness- performed work within the time frames specified in the contract Budget – adhered to budget, effective financial management, value received supports costs Business Relations – professional, respectful, friendly, businesslike interactions and communications Deliverables – compliant in meeting standards of deliverables as specified in the
  • 21. Evaluation Ratings 3 Tiered System Established by Office of the State Controller (Refer to Handout-pg 11) Used for all performance evaluations Standard  Optimum  Meets specifications/ requirements/expectations defined in the contract.  Contractor is cooperative in resolving issues of noncompliance.
  • 22. Evaluation Ratings (continued) Below Standard  Less than satisfactory performance.  Does not meet specifications, requirements or expectations defined in the contract.  Does not resolve issues of noncompliance or is uncooperative. Above Standard  Exceptional performance  Consistently superior achievement beyond what is defined in the contract.  Significantly exceeds specifications, requirements, or expectations defined in the contract.
  • 23. Frequency of Evaluations Interim Performance Evaluations  Level 4 – 4 Times per 12 Month Period  Level 3 - 3 Times per 12 Month Period Final Performance Evaluation  End of the Life of the Contract & Complete  Complete = Performance Obligations are Met and the Final Invoice is Received and Accepted OR 6 Months has Passed since the Receipt of the Final Invoice
  • 24. Evaluation Participants Evaluator  Conducts/Coordinates Evaluations  Usually Program Staff Evaluator Supervisor  Approves Evaluation/Rating Contract Writer  Creates/Edits CMS Records  Enters Final Evaluation Data in CMS Contractor is not involved in the process
  • 25. Evaluation Procedure: Level 3 & 4 Equal assessment of both program and fiscal performance 30 Day Time Line – Some Flexibility Program & Fiscal Staff Review Documentation Complete CDPHE Evaluation Worksheet/Determine Rating Supervisor Approves Email Worksheet to Contractor for Review/Comment – use scripted message (DO NOT SEND TO SUBCONTRACTOR) Archive Evaluation Information (Program or Fiscal
  • 26. Evaluation Procedure: Final Similar Procedure as Level 3 and Level 4  Final Contractor Performance Evaluation Form  Contract Writer/CMS Data Entry Timeline is Not Flexible – 30 days Evaluation Information IS ENTERED in CMS
  • 27. Ratings & Disputes – FINALEvaluation Notify Immediately for the Following:  Below Standard Rating – DO NOT email the evaluation to the contractor without approval.  Contractor Request for a Meeting- DO NOT schedule a meeting or discuss the evaluation/rating with the contractor.  Dispute – DO NOT discuss the dispute process with the contractor or provide assistance regarding the process.
  • 28. Standardized Invoice Form Training
  • 29. Why do we need a Standardized Invoice Form? Resolve contracting related issues  Background/ History Good business practice Efficient, Effective and Elegant
  • 30. When Do I Use The New Form? Contracts and Purchase Orders - Services All Entity Types Division staff will utilize the CDPHE standardized invoice form for all contracts and purchase orders. Requests to use a customized form or to accept a vendor issued form must be approved by the Contracts Performance Monitoring Unit Director. Customized Forms
  • 31. Accessing the New Form Link on CDPHE web site  http://www.cdphe.state.co.us/StandardizedInvoice /index.html  URL on Form Check current version Revision control log (track changes)
  • 32. Communicating with Contractors Fact Sheet (under development) Contractor Memo (under development) All Entity Types Orientation for LPHAs April 2012
  • 33. Transition and Provisions Transition period: April 1 – June 30 Effective Date: July 1, 2012 Program staff train the Contractor New provision - Invoicing  Contracts, Exhibit A – Additional Provisions  Purchase Orders
  • 34. Filling out the Form Invoice Handout Excel Workbook – 2003-2010 2 Tabs Expenditure Details & Reimbursement Invoice Expenditure Details data auto- populates Reimbursement Invoice
  • 35. Filling out the Form (Continued) Locked cells vs. Unlocked Protect Formulas/ Data Instruction Bubbles Expenditure Categories Personal Services/ Columns
  • 36. Filling out the Form (Continued) Line Items and Rows  Personal Services – 25  Operating Expenses - 30 Expanded Version (100 personnel rows) Attestations and Signature Blocks Billing Summary Submission
  • 37. HELP Training and Technical Assistance Deb Polk  Director, Contracts Performance Monitoring Unit  ext. 2136 - deb.polk@state.co.us Brian Stafford  FRMS Coordinator  ext. 2138 - brian.stafford@state.co.us

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