VII. Program Monitoring

Programs will be monitored for compliance with the Agreement established between the Provider and the Department. Review and monitoring activities include, but are not limited to the following:

A. Program Reviews

Program reviews are conducted to assure that Providers are providing services in a manner that will lead to the expected outcomes, and to assist Providers with understanding and meeting program requirements. Program reviews may include but are not limited to:

  1. Review of written program and staff procedures and processes (i.e., recruitment and marketing materials, orientation curriculum, assessment form(s), employer/sponsor agreements, etc.);
  2. Interviews with Provider staff and/or with customers;
  3. Case file reviews for all documentation, i.e., TABE Test results, assessments, assigned activities and required hours, name and address of sponsor/employer where customer is assigned to perform activities, supportive services received with supporting documentation, etc.;
  4. Observation of on-site activities involving customers and/or off-site training, education or counseling, and other activities designed to help the customer obtain unsubsidized employment;
  5. Site visits and interviews with sponsors/employers and customers;
  6. Review of supportive services issuances, and required documentation;
  7. Progress in achieving contracted benchmarks;
  8. Fiscal survey/ Fiscal month review; and
  9. Verification of billed unsubsidized job placements.

B.  Review Protocol

  1. DHS Provider Managers will schedule the review at least ten days in advance and confirm the date of the visit in writing. A copy of the monitoring instrument will be enclosed with the letter. The planned duration of each review will also be indicated on the letter.
  2. Each visit will begin with an entrance conference and conclude with an exit conference to verbally report results and any findings, corrective actions needed and recommendations suggested. The Provider is to sign the tentative corrective action plan/exit tool as an affirmation of a review of preliminary findings.  The information obtained from the review is then staffed with the supervisor with any necessary additions or amendments.
  3. A written report of monitoring findings, recommendations and needed corrective actions will be sent to the Provider following the review. Corrective actions must be implemented in the time frame specified in the written report.
  4. Following the final report, which includes the Providers corrective action plan, up to two follow up visits will be completed to ensure implementation of the submitted corrective action plan. Any outstanding findings that have not been addressed after the second follow up, a report detailing such will be forwarded to Administration for review.
  5. At the discretion of the Department, the DHS Provider Manager may make unscheduled site visits to Providers to confirm that customers are engaged in countable activities for 20/30/35 hours per week and to assess day to day operations of either the Provider site or an off-site location(s) where customers are placed.  A review of records may also occur at that time.  Corrective action, up to and including termination of the Agreement, will be initiated if customer engagement in countable activities for 20/30/35 hours per week cannot be verified.