Mar 2012 cdphe contractor performance monitoring trng
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Transcript of 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]