Monitoring Program (Fiscal and Plan Compliance)

The Task Force on Indigent Defense is required in Texas Government Code §71.062(a)(3) to monitor each county that receives a grant and enforce compliance by the county with the conditions of the grant, as well as all state and local rules and regulations. Grant rules and the Uniform Grant Management Standards (UGMS) set priorities and processes to be considered when determining what counties to monitor. The Task Force staff applies a consistent procedure to the review of all county files and considers both programmatic and fiscal concerns when determining a county's risk level. Fiscal concerns are those related to the type and adequacy of the financial management system, the overall percentage of administrative expenses as they relate to total expenditures, value of grants awarded, value of equipment purchased and adjustment or tardiness in document submission. Programmatic concerns are those related to compliance with plan submission instructions, type of appointment system maintained by the county, the lack of an administrative person responsible for the oversight of indigent defense services, and compliance with the policies outlined in the county indigent defense plan. Staff would like for counties to see the monitor as a resource for technical assistance.

Fiscal Monitor
To assist counties with better understanding this monitoring program here is a checklist that Carol uses when assisting the counties, a summary of most common findings, and a list of acronyms and abbreviations often used. If a county is unsure how to maintain records or categorize an expense, please contact Carol.  She is available to answer any questions you may have and welcome comments and feedback on how she may better serve your organization. Contact information: email: carol.conner@courts.state.tx.us  Phone is (toll free in Texas): (866) 499-0656, phone in Austin: (512)936-7561 (direct) and fax is: (512) 475-3450.

Program (plan compliance) Monitoring
The Task Force monitors local jurisdictions to see that the core requirements of the Fair Defense Act are being met. To ensure that jurisdictions are in compliance with the Fair Defense Act, the Task Force recommends that self-assessments be conducted on a periodic basis.  Self-assessments involve local jurisdictions examining records to identify the effectiveness of local policies and procedures.  As part of this examination process, it is recommended that magistrate’s warning forms be maintained in a central location and that these forms list the time/date of arrest, the time/date of the warning, and whether the arrestee requested court-appointed counsel.  Self-assessment can be performed by any jurisdiction and adds accountability to the indigent defense process. Court personnel may have an internal belief of performance based on experience with a part of the indigent defense process, but without actual records, one cannot know the effectiveness of the system.  Joel Lieurance, Research Specialist in plan compliance, can be reached by email at joel.lieurance@courts.state.tx.us or by phone at (512)936-7560.

Best Practice Forms (these are examples and counties may modify as necessary to address a county's particular need)