Mar 2012 cdphe contractor performance monitoring trng

CDPHE CONTRACT MONITORING TRAINING

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

Contractor

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 ProcessCriteriaProcedure and toolsMeasurement/ RateDocumentation

Risk Assessments (continued)

Fiscal Assessment LPHAs/Counties

FRMS Other Contractors

Division Fiscal 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

In Person, 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 Contractor1. Comprehensive documentation of issue(s)

Efforts made to resolveStaff/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

Voluntary Audit Monitoring & Evaluation

Process Qualify for Reduction in

Evaluation Frequency – Level 1 or Level 2

Monitoring Process Audit

Contract Performance Evaluation

(CMS Evaluations)

Purpose of Contractor Performance 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

statewide

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 contract

Evaluation Ratings

3 Tiered SystemEstablished 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 Files) Evaluation Information IS NOT Entered in CMS

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 – FINAL Evaluation

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/StandardizedI

nvoice/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 - [email protected]

Brian Stafford FRMS Coordinator ext. 2138 - [email protected]