To develop policies and procedures for the monitoring of Direct Service Providers (DSPs) in order to comply with grantor requirements. To ensure that Durham’s Partnership for Children works effectively with Direct Service Providers to achieve our common goal of helping every child in Durham County enter school healthy and ready to learn, the following policies and procedures have been adopted by the Partnership Board of Directors.
Policies| 1 | The Partnership will ensure accountability by monitoring activities in compliance with grantor requirements. |
| 2. | Monitoring of DSPs will be adequately documented to substantiate the work performed, issues noted and resolution of issues. |
| 3. | The Executive Director or Program and Evaluation Director will provide periodic reports to the Board of Directors summarizing the DSPs monitored issues and resolution of issues. |
| 4. | Issues of noncompliance that cannot be resolved through the monitoring process will be referred to the Board of Directors for determination of further action(s) to be taken. |
Policies and procedures will be reviewed periodically to make sure they reflect best practices and are consistent with the goals and objectives of Durham’s Partnership for Children.
Durham’s Partnership for Children will provide technical assistance to Direct Service Providers through an initial consultation in which program details are reviewed (program) and a Logic Model is developed (evaluation), and through subsequent program monitoring visits and observation of activity service delivery. The implementation of the Logic Model is monitored through detailed review of Quarterly Outputs/Counts Report Form, Mid-Year Report Form(see Mid-Year Report Instructions), and Year-End Report Form (see Year-End Report Instructions).
Initial Consultation
An initial consultation meeting may take place during the first quarter of the fiscal year for new activities, activities with significant changes and in other situations as needed. Newly Funded Activities/Direct Service Providers will receive an orientation on the monitoring process, reporting expectations, and other requirements as the Executive Director (ED) deems appropriate.
Additionally, the Direct Service Provider and the Partnership’s Program and Evaluation Staff will review the Logic Models during the first quarter and discuss any questions, issues, etc. The Logic Models submitted with the grant proposal will be reviewed to make sure that they follow logically from funded activities with attainable, measurable outcomes and outputs, and Program and Evaluation staff will meet with Direct Service Providers to discuss any necessary revisions.
In working with the Direct Service Providers to strengthen the Logic Model, the Program and Evaluation Staff reviews the data collection tools to make sure that they are appropriate for gathering the desired information for tracking and demonstrating outcomes. The Direct Service Provider and the Program and Evaluation Staff will discuss the outcomes and outputs to be incorporated into the final Logic Model.
Program Monitoring Visits and Activity Observations
1. A proposed annual schedule of on-site monitoring visits will be prepared no later than the end of the second quarter of the fiscal year. The schedule will be reviewed and modified, as appropriate. The ED will review and approve the schedule and any modifications thereto.
2. Each DSP will receive an on-site monitoring visit annually. If the ED approves less frequent monitoring of any DSP, the basis for the decision must be reasonable and documented.
3. The DSP will be notified, in writing, no less than 10 business days prior to the scheduled monitoring visit. This notification may be waived in the event of unusual circumstances, as determined by the ED. The reason for waiving or reducing notice should be documented in the monitoring records. Typically, all site visits are announced, but unannounced visits may also occur.
4. Monitoring will be performed using the monitoring tool approved by the ED. The monitoring steps performed and results noted during the monitoring visit will be documented. The monitor will observe the actual delivery of services by each DSP in order to make recommendations to enable the DSP to continually improve the quality of services.
5. A draft of the monitoring report, to include the scope of testing, any issues, and recommendations will be provided to the DSP within 45 business days after the site visit, if necessary. The DSP will be required to return the draft report with responses within 10 business days. If there are no issues in the report, it will be considered the final report.
6. The DSP’s responses will be reviewed and, if possible, the disputed issues will be resolved.
7. When the draft report process is complete, a final report will be sent to the DSP contract administrator.
8. For DSPs that are not meeting performance outcomes or contractual requirements, an action plan to address the issues may be developed in collaboration with the DSP. The plan will include a deadline for the correction of issues. The ED may waive the action plan requirement if only minor issues are noted during the monitoring visit.
9. The DSP will be required to sign and return a copy of the completed action plan to the ED.
10. A follow-up visit may be conducted, as deemed appropriate by the ED, to assess DSP compliance with the action plan and/or other recommendations.
11. If it is determined that a DSP has failed to adequately correct the issues reported in the action plan, the continuing noncompliance will be reported to the Board for a decision on additional action(s) to be taken.
SubContracted Grants Monitoring
All Direct Service Providers with subcontracted grant components will be monitored on their grants administration. The purpose is to ensure that the grants are given out and spent in accordance with polices and procedures, current NCPC requirements, and legislation. This monitoring takes place once a year, in accordance with auditor recommendations. Working together, the Finance Department and the Program Department will review a minimum of 20% of client files.
Responsibilities of the Direct Service Provider (DSP)
The Direct Service Provider is responsible for submitting Quarterly Outputs/Counts reports, a Mid-Year Report, a Year-End Report, and an annual demographics report submitted with fourth quarter reports. .
Using the Partnership Program and Evaluation Staff as a resource, Direct Service Providers select standardized instruments and/or develop data collection tools to measure the impact of the funded program. This includes the development of tools and/or procedures to continuously monitor and improve services to clients.
The DSP is required to read all written reports received from the Partnership Program and Evaluation Staff and to confirm their accuracy in writing. If corrections are needed, the Direct Service Provider will let the Program and Evaluation Staff know what to change, so that the DSP can then confirm the accuracy of the report.
When program or staff changes occur, or if issues arise that affect program implementation including budget adjustments, the Direct Service Provider is responsible for notifying the Program and Evaluation Director immediately.
Responsibilities of the Partnership Program and Evaluation Staff/Consultants
The Partnership Program and Evaluation Staff will work with DSPs within the first 90 days in order to finalize the Logic Model. The Partnership Program and Evaluation Staff will provide technical assistance to Direct Service Providers, as needed, on details of the Logic Model. When the final signed Logic Model is received at the Partnership, it is filed in a notebook to serve as a reference for reviewing reports. All data collection tools are filed in a notebook at the Partnership to serve as a reference for reviewing reports submitted by the provider.
The Partnership Program and Evaluation Staff are responsible for reviewing all reports received from Direct Service Providers for consistency with the Logic Model and for steady progress toward annual goals. In addition, quarterly counts data is reported to NCPC. In the event of barriers to, or problems with, program activities or data collection, the Program and Evaluation Staff and the Direct Service Providers work together to figure out how to remove or resolve them in a timely manner so that goals can be met.
The Partnership Program and Evaluation Staff provide technical assistance as requested by the DSPs and serve as a resource as needed. Informal communication is ongoing throughout the year in order for Durham’s Partnership for Children to stay abreast of developments.
The Partnership Program and Evaluation Staff provide staff assistance to the Allocations Committee through periodic updates on the progress of DSPs and serve as a liaison between the DSPs and the Allocations Committee during the Allocations Process.
The Partnership Program Staff is responsible for planning and carrying out monitoring visits, observations of service delivery and/or subcontracted grants monitoring visits and for submitting Monitoring Reports.
Because program changes are often reflected in budget, and spending rates are indicatorsof program implementation, the Program and Evaluation Staff, the Finance Director and the Contracts Manager maintain regular communication.
When Changes are Needed: Record-Keeping, Documentation or Data Collection Tools
In cases where record keeping and/or documentation and/or data collection tools appear to be insufficient or in need of change, the Program and Evaluation Staff will work with the Direct Service Providers to address these items within a targeted period of time.
When Goals are Not Being Met
In cases in which a Direct Service Provider is not complying with the terms of the contract between DSP and the Partnership, the Program and Evaluation Director notifies the Executive Director of Durham’s Partnership for Children in writing. Section 42 in the contract between the Partnership and the DSP, gives details of Board actions that can follow in the case of a DSP not fulfilling the terms of that contract.
Downloads on this page:
Quarterly Outputs/Counts Report Form Mid-Year Report Form Mid-Year Report Instructions Year-End Report Form Year-End Report InstructionsLogic Model Template