Contract Monitoring

Read the contract in its entirety, sign it, and send it back to your regional contract manager. Because it is a legally binding agreement, you want to confirm and understand the contract requirements outlined in the terms and conditions of the contract. Save a signed copy for your records for reference.

Your Regional Contract Manager or your Regional Program Manager.

Each contract manager develops plans for annual monitoring based on risk assessments and other contract performance factors. The plans outline any planned, ongoing, or periodic activities conducted by CA staff such as reviewing, observing, and reporting which serves to measure contractor performance and confirm contractor compliance with the terms and conditions, requirements, and outcomes of a contract.

Once the contract managers develop the annual monitoring plans for the year, they will determine the type and frequency of monitoring activities to be conducted. These activities may consist of a Desk Review or On -Site Review.

The Desk Review provides flexibility in gathering and reviewing performance documents versus an On Site Review. The review can be conducted monthly, quarterly or on a biannual basis depending on the need. The documents to be reviewed may include any or all of the following:

• Required contractor forms, i.e. W-9s, Certificate of Insurance, and licenses;
• Contractor invoices and supporting documents;
• Billing and payment history (SSPS or A19);
• Family/child progress reports;
• Audit reports;
• Prior compliance agreements

The On Site Review may cover any or all of the following at the contract provider’s place of business:

• Key systems and service documentation;
• Certificate of Insurance to ensure required coverage as stated in the contract;
• Client case records are up to date with appropriate documents;
• Personnel records to ensure staff have appropriate credentials; and
• Fiscal records, and observe operations whenever possible.

One of the most frequently asked questions is how often a contract should be monitored. There is no set timeframe. Generally, the frequency of monitoring a contract will be contingent, in part, upon the contract’s assigned risk level and other factors. These factors may include a pattern of compliance difficulty, amount of unsupervised contact with clients, ongoing complaints, audit findings, or challenges encountered when implementing a new service. These factors may increase the frequency or type of monitoring.

You will be notified by your regional contract manager of the date, time and location of the review, along with copies of the forms that will be used. You will need to review these forms to prepare for the meeting. These forms will assist you in meeting the scheduled monitoring requirements and allow time for you to contact your contract manager with any questions you may have about the review process.

It is a written plan that identifies deficiencies found during a monitoring review in the contractor’s performance. It describes the steps contractor must take to correct the deficiencies and sets forth timeframes and steps that must be taken to return contractor to compliance with the terms of the contract.

Within 30 days following the monitoring review the contractor will receive the compliance agreement to review, sign and return to the regional contract manager. The contractor needs to read through the agreement identifying the areas with findings of non-compliance including the specific timeframes and steps to correct identified deficiencies. Your regional contract or program manager will monitor the compliance agreement and follow up to verify resolution of deficiencies.

Your Regional Contract Manager or your Regional Program Manager.