2. Training Goals
Understand NC-TOPPS and related requirements
Know your role as a NC-TOPPS superuser, user or data entry user
Know how to administer and submit interviews
Increase awareness of NC-TOPPS guidelines and know where to
get updates
Understand how to obtain a CNDS#
Know who to contact for NC-TOPPS questions
3. What is NC-TOPPS?
North Carolina Treatment Outcomes and Program
Performance System (NC-TOPPS)
Web-based system for gathering outcome and performance
data
Provides reliable information that is used to measure the
impact of treatment and to improve services and management
quality throughout the service system
Managed and required by N.C. DMH/DD/SAS
4. Common Terms and Acronyms
MCO – Managed Care Organization
PHI – Protected Health Information
QP – Qualified Professional – for purposes of NC-TOPPS, any person
responsible for conducting NC-TOPPS interviews
DEU – Data Entry User
Member – Person receiving services, also called consumer or client
Zixmail – Secure e-mail system used by Vaya Health
5. LME/MCO Responsibilities
Local oversight – MCOs are responsible for ensuring providers meet NC-
TOPPS requirements
Provision of identification numbers – MCO Assigned Record Number and
Common Name Data Service Number (CNDS#)
Verification of provider agencies – for QPs that sign up with a provider not
currently in NC-TOPPS
Training and technical assistance
Changing of QP access – when members transfer to a new provider
LME/MCO mergers
6. Provider Responsibilities
Having an active superuser who
oversees NC-TOPPS for the agency
Completion of NC-TOPPS
interviews
QPs are responsible for
completing all interviews with
members
Interviews are completed face-to-
face with the member*
NC-TOPPS updates are kept up-
to-date
Data confidentiality
Confidentiality of a member’s
health information is protected
under North Carolina laws and
federal regulations
PHI is only shared with persons
with a legal right to the information
Members may have access to their
NC-TOPPS information upon
request
* Interviews completed by telephone contact with the member are the next option, if necessary; interviews
completed from service records are a last option used only if the member refuses to participate.
7. Benefits of NC-TOPPS
Provider benefits
The individual report can help drive Child and Family Team or Adult Recovery
Team discussions on progress and planning
NC-TOPPS provides supporting documentation for service requests
The dashboard provides a look at agency site and service outcomes
NC-TOPPS provides data for driving service and agency quality improvement
Data can be used to establish benchmarks for internal monitoring and network
or state comparisons
Positive agency outcomes can be a good marketing tool with community
stakeholders
The simple query report provides basic member and provider demographic
and service information
8. Benefits of NC-TOPPS
DMH/DD/SAS benefits
Monitor outcome performance by service, provider, LME/MCO
and statewide
Provides data to meet SAMHSA block grant monitoring
requirements
Provides data on state mental health/substance use system
performance for the public, N.C. DHHS leadership and the
Legislature
9. Whom to Contact with NC-TOPPS
Questions
NC-TOPPS – NCTOPPS@ncsu.edu
Password and personal account issues
Deleting episodes or duplicate interviews
Correcting incorrect record number and date of birth
MCO superusers – NCTOPPS@vayahealth.com
Switching members between providers
CNDS #s
Error messages
Agency superusers
Finding episodes completed by QP in-house
Switching between QPs at same provider
10. Getting Started
NC-TOPPS homepage
The NC-TOPPS Outcomes at a Glance 2.0
dashboard measures outcomes for particular age/disability
groups by local area, provider agencies and services
NC-TOPPS Quick Start Guide includes interview forms and
superuser tools
NC-TOPPS 2.1 website allows you to submit outcome
information for individuals receiving services, create a new
user account and manage system information
11. Becoming an NC-TOPPS User
Go to the NC-TOPPS 2.1 website and click "Create New NC-TOPPS User
Profile."
Answer the questions.
Receive a user name assigned to you at this time.
Remember this user name and password. You will need them to gain access to
the NC-TOPPS system.
Follow the onscreen instructions to select LME/MCOs and provider agencies.
When choosing an agency, use the dropdown box and pick an existing
provider and address.
Once your request has been accepted, you will be notified by
e-mail.
12. Data Entry Users (DEUs)
DEUs are individuals within a provider agency who are allowed
to enter NC-TOPPS interview data on behalf of QPs.
Users may request DEU status while adding provider agencies.
All requests for DEU status are emailed to the superuser, who will
subsequently approve or deny requests.
13. Creating a New NC-TOPPS User
Account
Video One:
Creating a New
NC-TOPPS User
Account
14. Superusers
Each LME/MCO is required to have superusers to provide technical
assistance to providers.
Each provider is required to have superusers.
Manage NC-TOPPS compliance for agency
Transfer NC-TOPPS from one agency location/QP to another
Remove QPs no longer at agency
15. How to Become a Superuser
New users need to enroll in NC-TOPPS as a user and be approved before
they can apply to become a superuser.
Current users should contact the NC-TOPPS Help Desk at
nctopps@ncsu.edu to request a Superuser Enrollment Form verifying that
you have authorization to access the data.
16. Important Reminders
Having the member present for an in-person interview is expected.
NC-TOPPS interviews must be entered into the web-based system by the
QP or DEU
Copies of all submitted NC-TOPPS interviews must be included in the
member’s service record.
17. Additional Important Reminders
A Release of Information must be provided with the request when a
member’s provider agency changes. The QP at the new provider agency
must notify the MCO so the MCO superuser can change the NC-TOPPS to
the new provider QP.
The member’s QP in the provider agency is the person responsible for
ensuring that NC-TOPPS interviews are completed.
18. Consent and Confidentiality
Any email communications containing private health or sensitive
information (PHI/SI) must be sent to Vaya Health securely. Vaya uses
Zixmail to send and receive secure email.
Providers must ensure an appropriate Release of Information (ROI) or
consents are in place when sharing information and completing NC-
TOPPS.
The primary provider agency may share a member’s PHI only with those
provider agencies explicitly named on the signed consent form.
The consent form must be renewed at least annually.
19. Who Gets an NC-TOPPS Interview?
Members who have been formally admitted to the LME/MCO and are
receiving qualifying mental health and/or substance use disorder services
from a public-funded source
Vaya Health Members with NC Health Choice receiving Therapeutic Foster
Care
20. Residential Services Requiring NC-
TOPPS
Level II and Level III Residential Services
Psychiatric Residential Treatment Facilities
SA Community Residential Treatment
Therapeutic Foster Care
21. Opioid Treatment Programs (OTP)
All OTPs are required to participate in NC-TOPPS:
Private-pay/self-pay: The provider will register with the NC-TOPPS
Help Desk at nctopps@ncsu.edu.
Medicaid/non-Medicaid-funded: The provider will use the LME/MCO
assigned record number.
If a member changes from Medicaid/non-Medicaid-funded to private pay
(or vice versa), the provider should contact the
NC-TOPPS Help Desk to request the change.
22. Dual Diagnosis Members
Members who receive intellectual and developmental disability
(IDD) services and supports as well as mental health (MH) or
substance use disorder (SUD) services require NC-TOPPS
participation only when the services are predominantly treating
MH or SUD needs
23. Qualifying Service Codes Requiring
NC-TOPPS
90832-90838*
90846*
90847*
90849*
90853*
H0004*
H0004 HQ*
H0004 HR*
H0004 HS*
YP831
YP832
YP833
YP834
H0005*
YP835
H0015
H0040
H2015 HT
H2022
H2033
H2035
YP630
YM645
H2023 U4
H2026 U4
H0035
H2012 HA
H0020
H0012 HB
H0013
H0019
H2020
YA230
YP780
S5145
*If the member has an SUD
diagnosis and is only receiving
outpatient services with these
service codes funded through
Medicaid Basic Benefits, the
member is not expected to
participate in NCTOPPS.
For updates to this list, please
refer to Appendix A of the
NC-TOPPS Guidelines
24. Members Receiving Multiple
Services
When a member is receiving more than one qualifying service,
responsibility for completing NC-TOPPS interviews is determined by a
hierarchy of services based on age and disability.
The provider of the service in the highest order in the NC-TOPPS
hierarchy is responsible for NC-TOPPS interviews (see next slide).
As services change, the NC-TOPPS record will be transferred to the
provider agency providing the next highest level of services in the
hierarchy.
25. Adults
Residential Services
Partial Hospitalization
Assertive Community Treatment (ACT)
Team
Substance Abuse Comprehensive
Outpatient Treatment (SACOT)
Substance Abuse Intensive Outpatient
Treatment (SAIOP)
Community Support Team (CST)
Opioid Treatment
Supported Employment
Periodic (non-Mediciad-funded
SUD only)
Child/Adolescent
Residential – PRTF
Partial Hospitalization
Multisystemic Therapy Services (MST)
Intensive In-Home Services (IIH)
Substance Abuse Intensive Outpatient
Treatment (SAIOP)
Child and Adolescent Day Treatment
Residential Services (except PRTF) and
Therapeutic Foster Care Services
Supported Employment
Periodic (non-Mediciad-funded
SUD only)
High-Fidelity Wraparound
NC-TOPPS Hierarchy
26. Exceptions
Members receiving only one or more of the following services: MH
Outpatient Therapy and/or Medication Management
Psychosocial Rehabilitation
Crisis Services
Psychiatric Inpatient Hospitalization Services
Developmental Disability Services and Supports
Members in the Adult with Developmental Disability (ADSN) target
Population or in the Children with Developmental Disability (CNDSN)
target population are not required to participate in
NC-TOPPS.
27. Timeframes for Submitting NC-
TOPPS Interviews
Initial interviews should be completed with the member during
an in-person interview by the second treatment visit.
Initial interviews should not be submitted before the member is
formally enrolled with the LME/MCO.
28. Timeframes for Submitting NC-
TOPPS Updates
Three-month update: 90 days following the initial episode submission
Six-month update: 180 days following the initial episode submission
12-month update: 365 days following the initial episode submission
Biannual updates: 18 months, 24 months, 30 months, etc., after the initial
submission (until the episode completion is submitted)
29. Preparing for the Interview
NC-TOPPS interviews include a common set of items that are generally
collected as part of developing and revising a MH and SUD member’s
treatment plan.
It is important that the QP is familiar with the interview questions prior to
contacting a member.
Careful preparation will increase the chances of engaging the member
and completing NC-TOPPPS interviews with accurate information.
30. Conducting the Interview
NC-TOPPS interview questions can be used as a tool during a
QP-member discussion to help identify areas of concern.
Interviews for children (ages 6-11) should be conducted with the child’s
parent/guardian or other adult responsible for the child’s care.
Interviews must be submitted through the NC-TOPPS system on or before
the due date.
31. Interview Reminders
Please note that all items in the interview are required to be
answered before you can submit the interview.
There are also certain items on the Update and Episode Completion
interview that are required to be asked directly to the member either
in-person or via telephone.
The QP should refrain from providing opinions, advice, feelings or
suggestions for answers.
32. Helpful Tips
Use the LME/MCO assigned record number. (Do not make up a number
or use the provider-generated record number.)
If the record number does not have enough digits, add a zero to the
beginning of the number (ex. 1234 becomes 01234). Do not add zeros to
the end.
Use the CNDS# assigned to the member. (Do not make up a number or
use the Social Security Number.)
33. More Helpful Tips
Check the correct spelling of the member’s name.
Make sure to use the correct date of birth (this information can be
found in AlphaMCS).
After submitting NC-TOPPS, look for the green checkmark at the top
of the page to make sure the information was accepted.
34. Submitting NC-TOPPS Interviews
Please see the videos below on Submitting NC-
TOPPS Interviews.
Video 2- Submitting Initial NC-TOPPS
Interviews
Video 3-Submitting NC-TOPPS Update
Interviews
35. Common Name Data Service
Numbers (CNDS#)
The LME/MCO is required to give the provider agency the LME/MCO
assigned record number and the CNDS# or Medicaid number when a
member is enrolled.
If a member has Medicaid, use that number for the CNDS#.
To obtain a CNDS# for Vaya Health members, e-mail the following
information to nctopps@vayahealth.com:
First and last name (no nicknames); Date of birth; Social Security
Number; Gender; Race/ethnicity; Language spoken
36. Provider Change
If a member transfers to a new provider agency and will continue in a service
requiring NC-TOPPS …
The new QP should contact the MCO superuser to request
NC-TOPPS be transferred.
For Vaya members, e-mail nctopps@vayahealth.com, provide the
Release of Information, the address of the provider and the name of the
QP who will be responsible for submitting NC-TOPPS.
The new QP will continue the current NC-TOPPS updates based on the
schedule established by the previous agency.
37. Episode Completion
Episode Completion interviews must be submitted when a member has:
Successfully completed treatment and is not continuing in a service that
requires NC-TOPPS
Been discharged at the program initiative
Refused treatment
Not received any services for 60 days
Transitioned to a service that does not require NC-TOPPS
Moved out of area or changed to different LME/MCO
Been incarcerated or institutionalized
Passed away
38. Features Available to Users
Interview Search: Searches for interviews by various criteria
Updates Needed List: Assists in tracking the dates when updates are due
for a member
Individual Report: Displays select NC-TOPPS items from the initial
interview and the two most recent updates for a member
39. Searching for Interviews
Once logged in, click on the “Locations” tab and select the correct
LME/MCO (and provider location, if applicable).
Click on the “Reports” tab, then click on “Interview Search.”
You can search for all interviews associated with your profile by clicking
“Find Interviews” with no criteria items selected, or you can add criteria on
the left to narrow the search.
To find an interview that was started, but not submitted, choose “Website
Submission” and click on “Manage Episode of Care.”
40. Updates Due
After logging in and choosing an LME/MCO, click on the “Reports” tab
Click on “Updates Needed.” This is the list of all members who currently
have an interview due.
At the bottom of the page, you may choose “Print” or “Export Data.”
42. How to Request Assistance
For assistance with Vaya members, email nctopps@vayahealth.com.
Use encrypted email when sending PHI.
Provide your name and agency (include address).
Provide at least two forms of information about the member (name, date
of birth, record number).
State the issue or question.
Transfer a member (provide the ROI)
Received an error message (give the specific message)
43. Pre-Test – True or False
Every provider andLME/MCO is required to have a superuser.
Only superusers can submit NC-TOPPS interviews.
When a member transfers from one provider to another, the NC-TOPPS should transfer with
them.
If I have a question about NC-TOPPS, there is no one who can help me.
True – A provider can have more than one, but every provider should have at least one
superuser.
False – QPs and DEUs can also submit NC-TOPPS interviews.
True – Contact the MCO’s Superuser and request that the NC-TOPPS be transferred.
False – Review the NC-TOPPS manual, ask your agency superuser or e-mail
nctopps@vayahealth.com or nctopps@ncsu.edu .
44. Pre-Test – Multiple Choice
After a member enters into a service requiring NC-TOPPS, the initial
interview should be submitted when?
At any time, as long as the person is still receiving services
During the first or second treatment visit
Within the first month of services
Within the first 90 days
(b) The NC-TOPPS interview should be submitted by the second
treatment visit.
45. Pre-test – Multiple Choice
NC-TOPPS updates are required at three months, six months, 12 months and
biannually. How are the timeframes calculated?
a) The three-month interview is due 90 days after the initial is submitted; the
six-month is due 180 days after the initial is submitted, etc.
b) The three- and six-month interviews are submitted any time as long as the
person is still receiving services.
c) The reviews are based on the member’s birthday.
d) None of the above
(a) The three-month interview is due 90 days after the initial is submitted, the
six-month is due 180 days after the initial is submitted, etc.
46. Scenario 1
Your agency is providing ACT services to a member, and after four
months, the member is transitioning to another provider for ACT services.
What will you do with NC-TOPPS?
Answer: If the member is continuing services at a new provider agency,
the new QP must contact the member’s LME/MCO so that the LME/MCO
superuser can change the member’s NC-TOPPS submissions to the new
QP/provider agency. If the new agency fails to request the transfer,
contact nctopps@vayahealth.com for assistance.
47. Scenario 2
Your agency is providing Intensive In-Home Services to a member who has
transitioned home from Residential Services. You are unable to submit an NC-
TOPPS because there is already an open NC-TOPPS in the system. What do you
do?
Answer: Contact the LME/MCO NC-TOPPS superuser at
nctopps@vayahealth.com and provide your name, agency address, the name of
the member and a copy of the signed Release of Information form allowing the
NC-TOPPS information to be transferred to your agency.
NOTE: Your agency will continue with NC-TOPPS submissions based on when the initial NC-
TOPPS was submitted by the previous provider.
48. Link to Test
This concludes the NC-TOPPS presentation. If you would like to receive a
Certificate of Training, please click the link to the left and take the NC-
TOPPS test.
If you have additional questions, please e-mail nctopps@vayahealth.com.
