Audit 8478

2023-001 – ALN 93.958 – Block Grant for Community Mental Health Services – Activities Allowed/Allowable Costs: Completion of Comprehensive Assessment Criteria: The Block Grant for Community Mental Health Services provides for a set of documentation requirements for clients in the covered programs, including the completion of a seven-part comprehensive assessment for clients in the FACT program. This form is required to be completed when clients are discharged after being provided mental health services. Activities allowed for the FACT program require a seven-part comprehensive assessment be completed fully within sixty days of client admission into the program. Condition: The full seven-part comprehensive assessment required for FACT clients was not completed fully within 60 days of client admission into the program for 1 of the 60 clients tested. Additionally, 3 of the 60 clients tested did not have the discount fee that was used shown on their comprehensive assessment. Finally, 1 of the 60 clients tested had an incorrect discount fee applied. Cause: The requirement to perform these control elements within 60 days was not followed by the case managers. Effect: The seven-part comprehensive assessments that were not properly completed within the required timeframe could result in noncompliance with the grant agreement. Recommendation: We recommend that the process be changed so that all seven-part comprehensive assessments required for FACT clients be completed fully for all patients within 60 days, and that additional controls be put in place to ensure the discount rate applied is documented and proper.

2023-002 – ALN 93.959 – Block Grant for Prevention and Treatment of Substance Abuse – Activities Allowed/Allowable Costs: Completion of Financial Assessment Form Criteria: The Block Grant for Prevention and Treatment of Substance Abuse provides for a set of documentation requirements for clients in the program, including the completion of a Financial Assessment Form to document financial eligibility over allowable costs. This form is required to be completed when clients are discharged after being provided mental health services. Condition: A Financial Assessment Form was not properly completed for 1 of the 60 clients tested. Additionally, 1 of the 60 clients tested did not have the Financial Assessment Form properly signed. Finally, 1 of the 60 clients tested had an incorrect discount fee applied. Cause: The requirement to perform these control elements were overlooked by the case managers. Effect: The missing and improperly completed Financial Assessment Forms could result in noncompliance with the grant agreement. Recommendation: We recommend that the process be reviewed and staff be trained and have regular training updates to ensure that the required Financial Assessment Forms are completed fully and signed for all clients, and that additional controls be put in place to ensure the discount rate applied is documented and proper.

2023-002 – ALN 93.959 – Block Grant for Prevention and Treatment of Substance Abuse – Activities Allowed/Allowable Costs: Completion of Financial Assessment Form Criteria: The Block Grant for Prevention and Treatment of Substance Abuse provides for a set of documentation requirements for clients in the program, including the completion of a Financial Assessment Form to document financial eligibility over allowable costs. This form is required to be completed when clients are discharged after being provided mental health services. Condition: A Financial Assessment Form was not properly completed for 1 of the 60 clients tested. Additionally, 1 of the 60 clients tested did not have the Financial Assessment Form properly signed. Finally, 1 of the 60 clients tested had an incorrect discount fee applied. Cause: The requirement to perform these control elements were overlooked by the case managers. Effect: The missing and improperly completed Financial Assessment Forms could result in noncompliance with the grant agreement. Recommendation: We recommend that the process be reviewed and staff be trained and have regular training updates to ensure that the required Financial Assessment Forms are completed fully and signed for all clients, and that additional controls be put in place to ensure the discount rate applied is documented and proper.

2023-001 – ALN 93.958 – Block Grant for Community Mental Health Services – Activities Allowed/Allowable Costs: Completion of Comprehensive Assessment Criteria: The Block Grant for Community Mental Health Services provides for a set of documentation requirements for clients in the covered programs, including the completion of a seven-part comprehensive assessment for clients in the FACT program. This form is required to be completed when clients are discharged after being provided mental health services. Activities allowed for the FACT program require a seven-part comprehensive assessment be completed fully within sixty days of client admission into the program. Condition: The full seven-part comprehensive assessment required for FACT clients was not completed fully within 60 days of client admission into the program for 1 of the 60 clients tested. Additionally, 3 of the 60 clients tested did not have the discount fee that was used shown on their comprehensive assessment. Finally, 1 of the 60 clients tested had an incorrect discount fee applied. Cause: The requirement to perform these control elements within 60 days was not followed by the case managers. Effect: The seven-part comprehensive assessments that were not properly completed within the required timeframe could result in noncompliance with the grant agreement. Recommendation: We recommend that the process be changed so that all seven-part comprehensive assessments required for FACT clients be completed fully for all patients within 60 days, and that additional controls be put in place to ensure the discount rate applied is documented and proper.

2023-002 – ALN 93.959 – Block Grant for Prevention and Treatment of Substance Abuse – Activities Allowed/Allowable Costs: Completion of Financial Assessment Form Criteria: The Block Grant for Prevention and Treatment of Substance Abuse provides for a set of documentation requirements for clients in the program, including the completion of a Financial Assessment Form to document financial eligibility over allowable costs. This form is required to be completed when clients are discharged after being provided mental health services. Condition: A Financial Assessment Form was not properly completed for 1 of the 60 clients tested. Additionally, 1 of the 60 clients tested did not have the Financial Assessment Form properly signed. Finally, 1 of the 60 clients tested had an incorrect discount fee applied. Cause: The requirement to perform these control elements were overlooked by the case managers. Effect: The missing and improperly completed Financial Assessment Forms could result in noncompliance with the grant agreement. Recommendation: We recommend that the process be reviewed and staff be trained and have regular training updates to ensure that the required Financial Assessment Forms are completed fully and signed for all clients, and that additional controls be put in place to ensure the discount rate applied is documented and proper.

2023-002 – ALN 93.959 – Block Grant for Prevention and Treatment of Substance Abuse – Activities Allowed/Allowable Costs: Completion of Financial Assessment Form Criteria: The Block Grant for Prevention and Treatment of Substance Abuse provides for a set of documentation requirements for clients in the program, including the completion of a Financial Assessment Form to document financial eligibility over allowable costs. This form is required to be completed when clients are discharged after being provided mental health services. Condition: A Financial Assessment Form was not properly completed for 1 of the 60 clients tested. Additionally, 1 of the 60 clients tested did not have the Financial Assessment Form properly signed. Finally, 1 of the 60 clients tested had an incorrect discount fee applied. Cause: The requirement to perform these control elements were overlooked by the case managers. Effect: The missing and improperly completed Financial Assessment Forms could result in noncompliance with the grant agreement. Recommendation: We recommend that the process be reviewed and staff be trained and have regular training updates to ensure that the required Financial Assessment Forms are completed fully and signed for all clients, and that additional controls be put in place to ensure the discount rate applied is documented and proper.