Finding Text
2023-007 Controls over Records Assistance Listing Number: 93.958
Name of Program and Cluster: Block Grants for Community Mental Health Services Agency: U.S. Department of Health and Human Services
Reporting
Significant Deficiency
Condition: The Organization did not keep individual records of program participants.
Criteria: Per the Westchester County contract, the Organization is required to keep individual records of program participants available for audit by the county.
Context: Two out of five participants selected for testing had encounter notes updated one to six months after the date of service. The participant list provided for audit included inactive clients and clients that did not enter the program until after year end.
Cause: There is no review or noted controls over the records maintained for the program. Effect: The Organization does not have updated records for individuals in the program.
Recommendation: RBT recommends developing a review process to confirm encounter notes are added in a timely manner and participants no longer enrolled in the program are inactivated. Additionally, the program should maintain current participant listings.