| Authority/Reference(s) | |
|---|---|
| Revision Date | September 26, 2022 |
Policy
Monitoring the contractor’s performance is a key function of proper contract management. The purpose is to ensure that the contractor is performing all contract obligations and for the agency to be aware of and address any developing problems or issues. Monitoring methods include desk reviews, site visits, and third-party monitoring, as well as monitoring activities such as telephone calls, testing and source document reviews and expenditure document review, spot audits, and scheduled audits. Contract divisions must determine the most appropriate method(s) and locations to conduct monitoring activities.
Contract staff will record the primary monitoring location in SCOR as either on-site or desk review as defined below.
On-Site
On-site monitoring is when key components of contract monitoring are conducted at the contractor’s office or a service delivery location.
Desk Review
A desk review is when contract monitoring is conducted at a location other than the contractor’s office and DFPS obtains or accesses the appropriate records and files for review.
Determining the Review Location
When selecting the monitoring review location, contract divisions must ensure that the quality of the monitoring conducted would not be compromised by the location selected. Regardless of monitoring location, the responsibilities and procedures should remain the same.
When a risk-based or enhanced monitoring event is entered into SCOR, the contract monitoring review location will default to on-site. If monitoring will be conducted through a desk review, or if one of the below listed contract types is being monitored, then contract staff will change the contract monitoring location from on-site to desk review.
On-site review is required when:
- The service location and operations are one of the components monitored.
- Touring operations when facility site concerns are indicated.
- Follow-up is needed on previously noted observable discrepancies.
- Verifying physical records management practices.
Contract staff may conduct a desk review when:
- Direct and support services contract types are monitored through a desk review and services are provided in locations other than the contractor’s office for the following contract types:
- Hospital Sitter Services
- Supervised Visitation Services
- Home Study and Report Services
- Out-of-State Courtesy Supervision Services
- In-State and Out-of-State Adoption
- Community and Parent Group Services
- Community-Based Care Single Source Continuum (quarterly performance review)
- The contractor submits all appropriate and necessary documentation and there is no other supporting documentation to review on-site with the contractor.
- The contractor provides a service for which on-site monitoring is not necessary or not possible.
- Contractor’s staff working remotely, and their offices are not open.
- Contractor maintain electronic files and no longer maintain paper files.
- Reviewing documentation of client service notes, assessment and support for invoices paid.
- Delivery of services are not provided in a facility and observing service delivery is not feasible.
Exceptions to On-Site Review
An exception to the preferred selection may be requested by contract staff or provider and is subject to supervisor review and approval. Written approval for exception documentation must be maintained in the contract file.