1. CDPHE
CONTRACT MONITORING
TRAINING
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 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

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 – 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.

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