North Carolina Residents

State and Local Government

Providers of MH/DD/SA Services

Statistics and Publications

Audits Archives

 SA/MH Block Grant Review Information | 2009 Spring Audit Information | Audit and Monitoring Reports | 2007 Community Supports Audits | Spring 2007/2008 Residential Treatment Audits | Residential Treatment Levels II, III, IV and PRTF Medicaid Audits | Fall 2007 Audits | 2006/2007 Medicaid Audit of Community Support Services | 2006 CAP MR/DD Audit | 2007 DWI Audit Information

SA/MH Block Grant Review Information

The DMH /DD/SAS Accountability Team will conduct monitoring of the Substance Abuse Prevention and Treatment and the Community Mental Health Services Block Grants. Reviews will take place at the LMEs.

Information on the review processes, tools used, and reviewer guidelines are posted here.

Monitoring tools and guidelines are subject to revisions. Any changes will be posted to this web site.
(All documents below are in PDF format and dated 4/28/09)

LME Memo
SAPTBG Prevention Program
SAPTBG Treatment Program for Pregnant Women or Children
Substance Abuse Prevention and Treatment Program (new)
Women with Dependent Children
SAPTBG Treatment Program for IV Drug Users
SAPTBG Individual
Women's Set Aside Fund (WSAF)
Work First Program
Work First Individual
CASAWORKS Program
CASAWORKS Individual
MAJORS
Safe and Drug Free Schools (SDFS) Program
Safe and Drug Free Schools (SDFS) Individual
Mental Health Block Grant Program (revised 5/11/09)
Mental Health Block Grant Individual(revised 5/14/09)

2009 Spring Audit Information

The DMH/DD/SAS Accountability Team will conduct audits of Medicaid and CAPMR/DD services from March 10, 2009 – May, 8 2009. Audits will take place at eight (8)centralized locations: Rocky Mount, Asheville, Asheboro, Gastonia, Winston-Salem,Lumberton, Jacksonville, and Raleigh.

Information on the audit processes, tools used, and auditor guidelines, as well as weekly schedules and directions are posted here. Approximately 1-2 weeks prior to each audit,providers will receive their specific appointment date and time along with a list of records to be reviewed.

Audit tools and guidelines are subject to revisions. Any changes will be posted to this web site.
(All documents are in PDF and posted 2/11/09 unless otherwise noted)

Provider letter
Provider List by Provider Name
Provider List by Site
Medicaid Services Audit Tool
Medicaid Services Auditor Guidelines 2/24/09
Medicaid Services Qualifications Checklist
CAP-MR/DD Audit Tool
CAP-MR/DD Auditor Guidelines 2/12/09
CAP-MR/DD Qualifications Checklist 2/24/09
Diagnostic Assessment Audit Tool 2/19/09
Diagnostic Assessment Auditor Guidelines 2/12/09
Diagnostic Assessment Qualifications Checklist 2/12/09

Directions

Asheboro
Asheville
Centerpoint Human Services (Winston-Salem)
Gastonia
Jacksonville
Lumberton
Raleigh
Rocky Mount

Blank Plan Correction Form (Word)

2008 Community Support Medicaid Audit and Person Centered Planning Review

Introduction:

The DMH/DD/SAS Accountability Team will carry out Medicaid audits of Community Support services, as well as reviews of the Person-Centered Planning process from
August 26, 2008 - October 23, 2008. Audits will take place at eight (8) centralized locations: Asheboro, Raleigh, Greensboro, Gastonia, Jacksonville, Asheville, Rocky Mount, and Lumberton. Information on the audit and review processes, tools used, and instructions, as well as weekly schedules and directions are posted here. Approximately 1-2 weeks prior to each audit, providers will receive their specific appointment date and time. Please note that auditor/reviewer instructions are guidelines and may not be all inclusive of areas to be reviewed. Audit and review tools and instructions are subject to revisions. Any changes will be posted to this web site.

Memo to Providers
Provider List by Site revised (8/14/08)
Provider List by Provider Name revised (8/14/08)
CS Tool revised (8/15/08)
CS Instructions revised (8/15/08)
CS Qualifications Checklist revised (8/14/08)
PC Planning Tool revised (8/14/08)
PC Planning Instructions (8/06/08)

Directions:
Asheboro
Asheville
Gastonia
Greensboro | Guilford Center Parking Locations
Jacksonville
Lumberton
Raleigh
Rocky Mount

Plan of Correction Form (revised 8/23/08)

Spring 2007/2008
Residential Treatment Audits

INTRODUCTION

IMPORTANT NOTE: There is a change in the training equirements that will be reviewed during this audit cycle. SIX HOURS OF PC THINKING WILL NOT BE NEEDED TO MEET THE REQUIRMENTS FOR STAFF TO BE QUALIFIED.

A new Qualifications Checklist is posted below. Thank you to the providers that brought this issue to our attention.

Residential Treatment Levels II, III, IV and PRTF Medicaid Audits

The DMH/DD/SAS Accountability Team will carry out Childand Adolescent Residential Treatment Audits March 10, 2008 through May 23, 2008.
With the exception of Psychiatric Residential Treatment Facilities (PRTFs) located in the Charlotte area, audits will take place at eight (8) centralized locations: Greenville, Fayetteville, Durham, Greensboro, Hickory, Gastonia, Lumberton, and Elizabeth City.
The Charlotte Area PRTFs will have their audits on site at their facilities.
Information on the audit processes, tools used and uditor instructions, as well as schedules and directions, are posted here. Please note that the auditor instructions are guidelines and are not all inclusive of what may be reviewed. Audit tools and instructions are subject to revisions. Any changes will be posted to this web site.

Please contact Sandee Resnick at sandee.resnick@dhhs.nc.gov or Barbara Flood at barbara.flood@dhhs.nc.gov for any questions related to the audit process.

Letter
Provider List by Parent Company
Provider List by Provider Name
Provider List by Site
Directions
Audit Tool (revised 3-7-08)
Residential Auditor Instructions (revised 3-7-08)
Plan of Correction Form
Qualifications Checklist
Staff Ratio Tool
Staff Ratio Instructions

Fall 2007 Audits

Introduction

Schedule (9-04-07)

Plan of Correction Form (1-19-08)

Schedule by Site and Provider

Directions:
Asheboro
Black Mountain (with map) | Directions to Audit room
Winston-Salem
Jacksonville
Lumberton
Rocky Mount
Gastonia
Durham

SA Block Grant Monitoring:
Letter to LMEs
LME Worksheet

Tools with Instructions:
CASA Works Program Tools and Instructions
CASA Works Individual Instructions
MAJORS Tools and Instructions
SAPTBG Individual Tool and Instructions
SAPTBG Program Tool and Instructions - Prevention
SAPTBG Program Tool and Instructions - Treatment
SAPTBG Program Tool and Instructions - Treatment IV
SDFSCP Tool and Instructions
SDFSCP Individual Tool and Instructions
Work First Individual
Work First Program
WSAF Tool and Instructions

Medicaid Audit Information:
Letter to Directly Enrolled Providers

CAP Tool
CAP Instructions
CAP-MR/DD Special Requirements
CAP-MR/DD Qualifications Checklist

Medicaid Instructions
Medicaid Tools
Medicaid Special Requirements
Medicaid Qualifications Checklist

 
2006/2007 Medicaid Audit of Community Support Services

The NC Division of MH/DD/SAS will conduct additional targeted Medicaid audits of directly enrolled Community Support providers between April 2 and April 26, 2007.  Please find information pertaining to the audits below. 

Community Support Letter (read this first)
(posted 3-26-07)
Community Support Audit Tool (3-26-07)

Schedules:
Asheboro
Gastonia
Goldsboro

Directions:
Asheboro
Gastonia
Goldsboro

2006 CAP MR/DD Audit

The DMH/DD/SAS Accountability Team will carry out CAP-MR/DD Audits and New Service Implementation Reviews September 11 through November 2, 2006. The audit/reviews will take place at seven (7) centralized locations: Winston Salem, Asheville, Rocky Mount, Burlington, Gastonia, Wilmington, and Lumberton.
Information on the audit process, tools used and instructions as well as schedules and directions are posted here.

2007 DWI Audit Information

The DMH/DD/SAS Accountability Team will carry out Driving While Impaired (DWI) Programmatic Reviews of Assessment/Service providers from March 6, 2007 through October 31, 2007.

Information on the monitoring/review process is posted here and includes: tools used, instructions,and schedules.

Click the links below to find the information you need.

DWI 2007 Review Notification Letter

DWI 2007 Review Schedule (updated 7/13/07)

DWI 2007 Providers by County

DWI 2007 Assessment Review Instructions

DWI 2007 Assessment Review Tool

DWI 2007 Treatment Review Instructions

DWI 2007 Treatment Review Tool

DWI 2007 Technical Assistance Evaluation Form

DWI 2007 Change Order Form

DWI 2007 Non-English Speaking Client Form