VII. Program Monitoring

IDHS will monitor programs for adherence to Agreement provisions. In addition, Monitors may conduct follow-up visits to ensure implementation of corrective action plans and will investigate complaints received regarding delivery of program services.

A. Program Reviews

The program reviews may include but are not limited to:

  1. On-site reviews
  2. Review of written program and staff procedural materials (recruitment or marketing letters or materials, orientation curriculum, non-cooperation notices, employer agreements, proper form usage, etc.)
  3. Interviews with Provider Staff and other component site staff
  4. Case file reviews (make sure paper file and ISETS match)
  5. Participant interviews both at Provider site and at assigned component site
  6. Observation of participation in components both on-site and off-site
  7. Review of Attendance Records
  8. Review of supportive services issuances (make sure paper file and ISETS match)
  9. The review of and the on-time receipt of EDF, PPTT, PFR and any additional required documents to IDHS, this includes billing and all supportive services documentation.
  10. Progress in achieving contracted benchmarks
  11. Review of job placements for accuracy
  12. Desk audit reviews for select Providers
  13. Attendance of all scheduled training and meetings
  14. How confidential information and case records are tracked and stored
  15. Review that the Training Attestations (for HIPPA and Security Training) and Confidentiality agreements have been completed
  16. The review and completion of the last monitoring and Corrective Action Plan (C.A.P.)
  17. Review of Contract and their exhibits
  18. Review Worksite agreements to make sure they are up to date (must have new one each State Fiscal Year)
  19. Document any recommendations that were brought to the provider's attention during the review

B. Review Protocol

  1. IDHS staff will schedule the review at least ten days (10) in advance and confirm the date of the visit in writing. A copy of the monitoring instrument will be enclosed with the scheduling letter. The planned duration of each review will be indicated when scheduling is done and will depend on the program size, number of sites, etc.
  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. A written report will follow. IDHS staff and Provider monitoring staff will be invited to both these meetings.
  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 Provider's corrective action plan, 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, an unscheduled site visit may be done to confirm that customers are engaged appropriately in countable activities. Corrective action, up to and including termination of the Agreement, will be initiated if countable activities cannot be verified.