• Contract Monitoring
  • Risk Assessment
  • Risk Assessment Instrument (RAI)
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Monitoring DFPS Contracts

Statewide Monitoring Plan (SMP)

The Department of Family and Protective Services (DFPS) prioritizes contracts and grants for planned monitoring on the Client Services and Administrative Specialized Monitoring Plans (SMP). Contract staff complete the Risk Assessment Instrument (RAI) for a contract within their program area to identify contracts that have the potential for elevated risk to the agency or risk to clients receiving services. Contracts are on the SMP as a result of the risk assessed through completion of the RAI. Throughout the life of the contract, DFPS staff, including contract staff, conduct activities that aim to assess, mitigate, and manage risk.

Contract monitoring ensures compliance with state and federal regulations, agency policies and procedures, and the terms and conditions of the contract. Monitoring serves as a method of risk mitigation, to identify the need for technical assistance, and to determine the effectiveness of the goods and services provided. DFPS contracting staff must monitor the highest risk contracts and grants as established by the Client Services and Administrative SMP. In addition, contract staff are required to respond to contract events that may require an enhanced level of review. Contract staff must also respond to complaints against the contractor or grantee and follow-up on any unresolved systemic contract issues.

The monitoring activity is guided by agency policies including:

Assessing Contract Risk

Risk Assessment Instrument

Assessing risk throughout the contract lifecycle is a primary function of DFPS contract management. Contract staff maintain awareness by using standardized agency tools and available information provided by the contractor or grantee. The tool used to determine which contracts are included on the SMP is called the Risk Assessment Instrument (RAI). 

The RAI of each contract program area are reviewed by DFPS annually to ensure the information collected is relevant and the instrument is up to date.

Effective risk management includes:

  • Managing risk by implementing appropriate controls.
  • Requiring that contract staff stay informed about the status of the contractor’s or grantee’s relationship with DFPS throughout the life of the contract or grant.
  • Maintaining ongoing awareness of all risks for each contract.

Risk Assessment Instrument (RAI)

Individual risk factors, descriptions, and source information that may be used for risk assessments for each contract type can be accessed at the links below:

Contract Type Form
Administrative Services - Adult Protective Services (APS), Child Protective Services (CPS), Child Watch Support Services (CWSS)
Administrative Services - Information Technology Services (ITS)
Administrative Services - DFPS State Office (SO)
Client Services - Adult Protective Services (APS), Child Watch Support Services (CWSS)
Client Services - Child Protective Services (CPS)
Client Services - Residential Child-Care (RCC)

Contract Oversight and Support

Refer specific questions to your assigned contract manager or contact the Contract Oversight and Support technical assistance mailbox.

Include your entity name, contract number, and name of your assigned contract manager, if known.