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Protocol
In general, the protocol includes:
- Form 5916, Applicant/Contractor Screening Criteria
- Form 5988, Notice of Scheduled Contract and Fiscal Compliance Monitoring
- Form 5989, Contract Monitoring Entrance Conference
- Form 5990, Contract Monitoring Exit Conference
Applicant/Contractor Screening Criteria
The Applicant/Contractor Screening Criteria is completed before formal monitoring to verify the legal entity's business information and status. Neither the Form 5916 nor Form 5916-Excel is required for intermittent monitoring. HHSC contract staff must refer to several federal and state websites and reference reports to complete this form.
Notice Letter
The Notice Letter is provided 14 days in advance of a formal monitoring and intermittent monitoring. The Notice Letter identifies the contracts that will be included in the monitoring, informs the contractor of the dates, verifies the location of the monitoring and lists documents and other information needed at the conclusion of the entrance conference.
Entrance Conference
The Entrance Conference establishes the purpose of the review, identifies key contact persons, provides the contractor an opportunity to present an agency overview and concludes with a review of HHSC access to documents and information needed to complete the monitoring. The Entrance Conference includes a roster that is signed by each person who attends the entrance conference. A copy of the Entrance Conference is provided to the contractor.
Exit Conference
The Exit Conference provides the results of the monitoring, identifies required actions, explains the process to request an informal review and/or administrative hearing and informs the contractor that the contractor may submit a written response to HHSC regarding the monitoring results within three work days from the date of the exit conference. The Exit Conference includes a roster that is signed by each person who attends the exit conference. A copy of the Exit Conference is provided to the contractor.
Excel Versions of the Tools
Note: These forms are in Excel 2010 format.
- Common Forms for Contract Monitoring
- Adult Foster Care
- Assisted Living/Residential Care
- Consumer Directed Services – Program
- Consumer Directed Services – TAX
- Day Activity and Health Services
- Deaf Blind with Multiple Disabilities (DBMD)
- Home-Delivered Meals
- Primary Home Care/Family Care/Community Attendant Services
- Primary Home Care Units of Service Tables
- Transition Assistance Services
CLASS Tools
Excel versions of both the Community Living Assistance and Support Services (CLASS) Case Management Agency (CMA) and CLASS Direct Service Agency (DSA) Tool may be accessed below.