North Carolina Home Health Survey Prep Checklist
Your survey could come any day. This is exactly what North Carolina Division of Health Service Regulation (DHSR) surveyors pull from your files — and how to walk in already audit-ready. Free, no signup required.
80 hrs
Initial Training
12 hrs
Annual Training
Every 60 days
Supervision
Required
Fingerprints
What Surveyors Pull From Every Employee File
Have these ready, current, and signed for every staff member before your survey:
- Signed job description matching the role and assigned duties
- Completed application and verified employment history / references
- I-9 employment eligibility verification with supporting documents
- W-4 and signed payroll / direct-deposit authorization
- Government-issued photo ID and Social Security / ITIN record
- Current professional license or certification copy (RN, LPN, CNA, HHA, etc.)
- Signed HIPAA, employee handbook, and policy acknowledgments
- Documented orientation and annual in-service / competency evaluation
See the full breakdown in our guide: What Surveyors Check in Personnel Files.
North Carolina Background & Exclusion Screening
Required checks for every staff member (G.S. 131E-265):
- North Carolina State Bureau of Investigation CheckRequired
- FBI National Criminal CheckRequired
- Health Care Personnel RegistryRequired
- NC Sex Offender RegistryRequired
- OIG Exclusion ListRequired
Don't forget monthly OIG/SAM screening. Medicare/Medicaid agencies must re-check all staff against the federal exclusion lists every month — surveyors ask for the dated screening logs.
Fingerprinting required: SBI Fingerprint.
Abuse registry: Check the NC Health Care Personnel Registry for all staff.
Training, Competency & Supervision Records
- 80 hours of documented initial training per staff member (10A NCAC 13J .1103).
- 12 hours of annual continuing education, with dated completion records.
- Supervisory visit notes documented every 60 days (10A NCAC 13J .1105).
- Signed competency evaluations for each aide/attendant role.
North Carolina Survey Prep FAQ
What do surveyors check in North Carolina home health personnel files?
Surveyors review each employee file for identifying information, a signed job description, verified employment history, license and certification copies, background-check and exclusion-screening results, training and competency documentation, and signed policy acknowledgments. Missing or expired items are among the most common citations.
How often do I need to re-screen staff against the OIG exclusion list in North Carolina?
Medicare/Medicaid-participating agencies should screen all staff against the OIG LEIE and SAM.gov exclusion lists monthly, per OIG Special Advisory Bulletin guidance. North Carolina also requires North Carolina State Bureau of Investigation Check, FBI National Criminal Check, Health Care Personnel Registry, NC Sex Offender Registry, OIG Exclusion List.
How many training hours does North Carolina require?
North Carolina requires 80 initial training hours and 12 annual continuing-education hours (10A NCAC 13J .1103). Supervisory visits are required every 60 days.
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