Contract & Fiscal Compliance Monitoring Tools


In general, the protocol includes:

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.


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.