Authority/Reference(s) HRC, Subtitle D, §40.058
Revision Date August 1, 2019

Policy

Assessing risk throughout the contract lifecycle is key to effective risk management, which is a primary function of contract management. DFPS prioritizes contracts for planned monitoring on the Client Services Specialized Monitoring Plan (SMP) based on risk assessed through the Risk Assessment Instruments (RAIs). For the Administrative SMP (Admin. SMP), the RAI helps determine the frequency of monitoring.

RAIs are developed by COS, in collaboration with DFPS Divisions, and the RAI tools are maintained in the Contract Handbook. RAIs are used to identify and predict areas that have the potential for elevated risk to the agency and/or clients receiving services.

Although a completed RAI is contract-specific, contract staff should share information when DFPS has multiple contracts which have the same provider to determine appropriate assessment of risk. SCOR can be utilized to search for multiple contracts that are active in the current fiscal year with the same providers based on their Texas Identification Number (TIN).

Unless excluded, as detailed below, contract staff must complete an RAI annually and enter the RAI scores into SCOR by the dates specified in the fiscal year’s Client Services SMP timeline or Admin. SMP timeline.

Contract staff should conduct periodic reviews of contractors’ risk throughout the fiscal year. When new risks are identified, contract staff may increase monitoring activities or request that a contract be added to the SMP via the Form 9103 Adjustments to the Client Services SMP process.