Title XX Social Services (DFI)
Program Manual FY23
- Monitoring Review Objectives
- Scheduling On-Site Monitoring Reviews
- On-Site Monitoring Review
The purpose of monitoring social service programs is to enhance services and strengthen the overall compliance of provider service networks with the governing regulations and policies. By pursuing this objective, the potential for future deferrals, disallowance, or adverse audit actions can be reduced. Monitoring also provides an effective early warning mechanism that identifies problem areas and motivates IDHS and the provider to take corrective actions that may avoid adverse contractual sanctions.
Monitoring is the process used to conduct an on site review of the provider's general operating procedures and fiscal and service records to determine adherence to the IDHS Uniform Grant Agreement requirements, the DFI Administrative Rules and Title XX DFI Program Manual.
Broadly stated, monitoring includes: the review of service records for documentation of the request for service and application, the determination of eligibility for client participation, development of a service/treatment plan with established goals, evaluation of progress toward meeting the established service goals, review of fiscal records to verify supporting documentation for reported program expenditures, and a review of the provider's general operating procedures to assess the provider's oversight of the Title XX DFI funded program.
Monitoring is also conducted for the purpose of assessing the provider's oversight of the funded program and to determine the appropriateness of the services provided in comparison to the service categories approved within the Title XX DFI Program Plan.
A. Monitoring Review Objectives
The objectives for a monitoring review are as follows:
Objective I: Review the agency's administrative oversight of the program and determine if the provider establishes general operating procedures that allow for adherence to the Uniform Grant Agreement, the Title XX Social Services Block Grant Administrative Rule and the Donated Funds Initiative Program Manual.
Objective II: Review the agency's adherence to IDHS reporting requirements and determine if record keeping systems provide documentation of service activities, program expenditures, contract utilization, and program performance reported to IDHS.
Objective III: Review the agency's service records and determine if the records document participant eligibility, participant needs assessment, service/treatment plan development, evaluation of participant progress, and service activities and that the documentation assures adherence to the IDHS Uniform Grant Agreement, Title XX Social Services Block Grant Administrative Rule and the Title XX Donated Funds Initiative Program Manual.
Objective IV: Review the agency's program operations for the purpose of identifying procedures that assure service activities are appropriate for program participants and are delivered in accordance with the IDHS approved Program Plan.
Objective V: Review the agency's administrative oversight of the program for the purpose of identifying program assessment and planning, development and evaluation that allows for a program framework that effectively addresses the need for the service within the community and the State's expectations for services provided within the Title XX Social Services Block Grant.
Objective VI: Review the agency's records and determine if the records document the performance indicator(s) according to the approved Title XX Program Plan.
Objective VII: Review the agency's financial records and determine if the records document payments and expenditures reported to IDHS for reimbursement and that the documentation assures adherence to the IDHS Uniform Grant Agreement, the Title XX Social Services Block Grant Administrative Rule and the Donated Funds Initiative Program Manual.
Objective VIII: Review the agency's financial records and determine if the records document the source of the matching funds and the amount reported to IDHS to receive reimbursement and that the documentation assures adherence to the IDHS Uniform Grant Agreement, the Title XX Social Services Block Grant Administrative Rule and the Donated Funds Initiative Program Manual.
Objective IX: Review the agency's records for the purpose of identifying adherence to general contract conditions and Title XX Social Services Block Grant Administrative Rule.
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B. Scheduling On-Site Monitoring Reviews
Bureau staff will contact the provider by telephone at a reasonable time ahead of the general time frame for the visit. Monitoring reviews are generally completed within one day. If the review is for more than one program, additional days may be needed. A letter with the review objectives is mailed or emailed to confirm the date of the review and the type of review to be completed. The review period is the most recent calendar quarter for services and expenditures.
C. On-Site Monitoring Review
A Monitoring Review Provider Checklist and a copy of the monitoring instrument will also be included with the confirmation of the scheduled review letter. The Provider Checklist identifies the fiscal and program areas that may be discussed and the program and fiscal records that should be made available during the review. The monitoring instrument includes all of the administrative, program and fiscal areas that will be reviewed. An entrance conference is conducted to discuss services, client records, fiscal record keeping, and governance. A client file review is conducted on a sample of files selected by the monitor. A discussion with staff will focus on the performance information reported. An exit conference is conducted in which the findings, if any, are presented.
Upon completion of the field work, a monitoring report is prepared and issued to the provider. If the report contains recommendations for corrective action, the provider is given 30 days to provide a response. The provider's response to the report is stated in the final report. Significant findings may result in a follow-up visit to determine if problem areas were satisfactorily resolved.
Due to updated GATA compliance, some providers may be required to have intermittent reviews based on concerns pertaining to the providers' general operating procedures and fiscal and service records.
Monitoring Selection Criteria
Providers are reviewed, at a minimum, once every 3 fiscal years. To provide effective program coverage and to maximize the most efficient use of resources, criteria for the selection of programs to be monitored are in compliance with the Division guidelines, as follows:
- Priority One:
- Contracts over $1.0 million
- All new/first time providers
- Providers who were monitored in the previous year and had multiple findings in the areas of administration, facility, fiscal and program services
- Priority Two:
- Contracts between $500,000 - $999,999
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