Mar 2012 cdphe contractor performance monitoring trng
Upcoming SlideShare
Loading in...5
×
 

Mar 2012 cdphe contractor performance monitoring trng

on

  • 680 views

 

Statistics

Views

Total Views
680
Views on SlideShare
595
Embed Views
85

Actions

Likes
0
Downloads
2
Comments
0

1 Embed 85

http://ple.odu.edu 85

Accessibility

Categories

Upload Details

Uploaded via as Microsoft PowerPoint

Usage Rights

© All Rights Reserved

Report content

Flagged as inappropriate Flag as inappropriate
Flag as inappropriate

Select your reason for flagging this presentation as inappropriate.

Cancel
  • Full Name Full Name Comment goes here.
    Are you sure you want to
    Your message goes here
    Processing…
Post Comment
Edit your comment

    Mar 2012 cdphe contractor performance monitoring trng Mar 2012 cdphe contractor performance monitoring trng Presentation Transcript

    • CDPHECONTRACT MONITORINGTRAINING Deb Polk, Director CDPHE Contracts Performance Monitoring Unit 2012
    • 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.
    • 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
    • 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
    • Risk Assessments Risk-Based Monitoring Program and Fiscal Level of Resources/Activities for Monitoring Uniform Process Solicitation or After Award
    • Risk Assessments (continued) Program Assessment  Compliance with Program/Administrative/ Contractual Requirements  Uniform Process  Criteria  Procedureand tools  Measurement/ Rate  Documentation
    • Risk Assessments (continued) Fiscal Assessment  LPHAs/Counties FRMS  Other Contractors  DivisionFiscal Staff Assesses Financial Management System  Technical Assistance for Assessment Development  Uniform Process
    • 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
    • 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
    • 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
    • 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
    • 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)
    • 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)
    • Performance Evaluation CDPHE & CMS Statutory Requirement Training coming up…
    • 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
    • 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
    • Monitoring Process Audit Voluntary Audit Monitoring & Evaluation Process Qualify for Reduction in Evaluation Frequency – Level 1 or Level 2
    • Contract Performance Evaluation (CMS Evaluations)
    • 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
    • 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
    • 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.
    • 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.
    • 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
    • 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
    • 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
    • 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
    • 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.
    • Standardized Invoice Form Training
    • Why do we need a Standardized Invoice Form? Resolve contracting related issues  Background/ History Good business practice Efficient, Effective and Elegant
    • 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
    • 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)
    • Communicating with Contractors Fact Sheet (under development) Contractor Memo (under development) All Entity Types Orientation for LPHAs April 2012
    • 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
    • Filling out the Form Invoice Handout Excel Workbook – 2003-2010 2 Tabs Expenditure Details & Reimbursement Invoice Expenditure Details data auto- populates Reimbursement Invoice
    • Filling out the Form (Continued) Locked cells vs. Unlocked Protect Formulas/ Data Instruction Bubbles Expenditure Categories Personal Services/ Columns
    • 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
    • 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